[Federal Register Volume 61, Number 117 (Monday, June 17, 1996)] [Notices] [Pages 30748-30775] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 96-15156] [[Page 30747]] _______________________________________________________________________ Part V Department of Health and Human Services _______________________________________________________________________ Administration for Children and Families _______________________________________________________________________ National Center on Child Abuse and Neglect Projects; Fiscal Year 1996 Availability of Funds and Requests for Comments; Notice Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices [[Page 30748]] DEPARTMENT OF HEALTH AND HUMAN SERVICES Administration for Children and Families [Program Announcement No. ACF/ACYF/NCCAN/DP 96-1] Fiscal Year 1996 National Center on Child Abuse and Neglect; Availability of Fund and Requests for Applications AGENCY: National Center on Child Abuse and Neglect (NCCAN), Administration on Children, Youth and Families (ACYF), Administration for Children and Families (ACF), Department of Health and Human Services (DHHS). ACTION: Announcement of the availability of financial assistance and requests for applications to support child abuse and neglect research, demonstration, and training and technical assistance projects as authorized by the Child Abuse Prevention and Treatment Act, as amended. SUMMARY: The National Center on Child Abuse and Neglect (NCCAN) announces the availability of Fiscal Year 1996 funding. Funds from NCCAN are for research on the causes, prevention, identification, treatment and cultural distinctions of child abuse and neglect; for research on appropriate, effective and culturally- sensitive investigative, administrative and judicial procedures with respect to cases of child abuse; and for demonstration or service programs and projects designed to prevent, identify, and treat child abuse and neglect. This announcement contains forms and instructions for submitting an application. DATES: The closing time and date for the receipt of applications under this announcement is 4:30 p.m. (Eastern Time) August 16, 1996. Applications received after 4:30 p.m. will be classified as late. ADDRESSES: Mail applications to: Department of Health and Human Services, Administration for Children and Families, Division of Discretionary Grants, 370 L'Enfant Promenade, S.W., Mail Stop 6C-462, Washington, D.C. 20447, ATTN: __________ (Reference announcement number and specify Priority Area 1.01, 2.01, or 2.02). Hand-delivered, courier or overnight applications are accepted during the normal working hours of 8:00 a.m. to 4:30 p.m., (Eastern time), Monday through Friday, on or prior to the established closing date at: Administration for Children and Families, Division of Discretionary Grants, ACF Mailroom, 2nd Floor Loading Dock, Aerospace Center, 901 D Street, S.W., Washington, D.C. 20447, ATTN: __________ (reference number and specify Priority Area 1.01, 2.01, or 2.02). FOR FURTHER INFORMATION CONTACT: The ACYF Operations Center Technical Assistance Team at 1-800-351-2293 is available to answer questions regarding application requirements and to refer you to the appropriate contact person in NCCAN for programmatic questions. INTENT TO APPLY: If you are going to submit an application, send a postcard or call in the following information: The name, address, and telephone number of the contact person; the name of the organization; and the priority area(s) in which you may submit an application, within two weeks of the receipt of this announcement to: Administration on Children, Youth and Families, Operations Center, 3030 Clarendon Boulevard, Suite 240, Arlington, VA 22201. The telephone number is 1- 800-351-2293. This information will be used to determine the number of expert reviewers needed and to update the mailing list of persons to whom the program announcement is sent. SUPPLEMENTARY INFORMATION: This program announcement consists of three parts. Part I provides information on the National Center on Child Abuse and Neglect and general information on the application procedures. Part II describes the review process, additional requirements for the grant applications, the criteria for the review and evaluation of applications, and the programmatic priorities for which applications are being solicited. Part III provides information and instructions for the development and submission of applications. The forms to be used for submitting an application follow Part III. Please copy as single-sided forms and use in submitting an application under this announcement. No additional application forms are needed to submit an application. Applicants should note that grants to be awarded under this program announcement are subject to the availability of funds. Outline of Announcement Part I: General Information Part II: Review Process and Priority Areas A. Eligible Applicants B. Review Process and Funding Decisions C. Evaluation Criteria D. Structure of Priority Area Descriptions E. Available Funds F. Priority Area Descriptions and Requirements Part III: Information and Instructions for the Development and Submission of Applications A. Paperwork Reduction Act of 1995 B. Availability of Forms C. Required Notification of the State Single Point of Contact D. Deadline for Submission of Applications E. Instructions for Preparing the Application and Completing Application Forms 1. SF424, page 1, Application Cover Sheet 2. SF424A, Budget Information-Non-Construction Programs 3. Project Summary Description 4. Program Narrative Statement 5. Assurances/Certifications F. Checklist for a Complete Application G. The Application Package Part I--General Information A. Background The Administration on Children, Youth and Families (ACYF) administers national programs for children and youth, works with States and local communities to develop services which support and strengthen family life, seeks out joint ventures with the private sector to enhance the lives of children and their families, and provides information and other assistance to parents, public and private agencies, States and local communities, and other entities. The concerns of ACYF extend to all children from birth through adolescence. Many of the programs administered by the agency focus on children from low-income families; children and youth in need of foster care, adoption, or other child welfare services; preschool children; children with disabilities; abused and neglected children; runaway and homeless youth; and children from Native American and migrant families. Located organizationally within ACYF, the National Center on Child Abuse and Neglect (NCCAN) was established within the Department of Health and Human Services in 1974 by the Child Abuse Prevention and Treatment Act (the Act). NCCAN conducts activities designed to assist and enhance national, State and community efforts to prevent, identify, and treat child abuse and neglect. These activities include: conducting research and demonstrations; supporting service improvement projects; gathering, analyzing, and disseminating information through a national clearinghouse; and awarding grants to eligible States to develop, strengthen, and carry out child abuse and neglect prevention and treatment programs and programs relating to the investigation [[Page 30749]] and prosecution of child abuse cases. In addition, the legislatively- mandated Advisory Board on Child Abuse and Neglect and the Inter-Agency Task Force on Child Abuse and Neglect produce periodic reports on child abuse and neglect activities. B. Statutory Authority Covered Under This Announcement NCCAN solicits applications under the authority of the Child Abuse Prevention and Treatment Act (42 U.S.C. 5101 et seq.) as amended. The Act was most recently reauthorized through September 1995 and was further amended through the Child Abuse, Domestic Violence, Adoption, and Family Services Act of 1992 (Pub. L. 102-295, 5/28/92), the Juvenile Justice and Delinquency Act Amendments of 1992 (Pub. L. 102- 586, 11/4/92), and Title IV of the Human Services Amendments of 1994 (Pub. L. 103-252, sec. 401). Funds were appropriated, at a reduced level, under the 1996 Appropriation Bill (Pub. L. 104-134) through September 1996. (CFDA: 93.670) Part II. The Review Process and Priority Areas A. Eligible Applicants Each priority area description contains information about the types of agencies and organizations eligible to apply. Because eligibility varies depending on statutory provisions, it is critical that the ``Eligible Applicants'' section of each priority area be read carefully. Before review, each application will be screened for applicant organization eligibility. Applications from ineligible organizations will not be reviewed in the competition, and the applicants will be so informed. Only agencies and organizations, not individuals, are eligible to apply under this Announcement. All applications developed jointly by more than one agency or organization must identify a single lead organization and official applicant. Participating agencies and organizations can be included as co-participants, subgrantees, or subcontractors. For-profit organizations are eligible to participate as subgrantees or subcontractors with eligible non-profit organizations under all priority areas. Any non-profit agency must submit proof of non-profit status either by making reference to its listing in the Internal Revenue Service's (IRS) most recent list of tax-exempt organizations or by submitting a copy of its letter from the IRS under IRS Code Section 501(c)(3). The ACYF cannot fund a non-profit applicant without acceptable proof of its non-profit status. B. Review Process and Funding Decisions Before applications are reviewed, each application is screened to determine whether the applicant organization is eligible. Applications from ineligible organizations will not be reviewed in the competition, and the applicant will be so informed. Applications that omit essential components of the application or fail to comply with format specifications described in Part III will have their application withdrawn from further consideration. Applications will be screened for categorical appropriateness. If applications are found to be inappropriate for the priority area in which they were submitted, applicants will be contacted for verbal approval of redirection to a more appropriate priority area. Redirection does not affect decision-making in the competitive process following the initial screening. Timely applications from eligible applicants will be reviewed and scored competitively. Experts in the field, generally persons outside the Federal government, will use the appropriate evaluation criteria listed later in this section to review and score the applications. The result of this review is a primary factor in funding decisions. NCCAN and ACYF reserve the option to discuss applications with, or refer them to, other Federal or non-Federal funding sources when this is in the best interest of the Federal government or the applicants. ACYF may also solicit comments from ACF Regional Office staff, other Federal agencies, interested foundations, national organizations, specialists, experts, States and the general public. These comments, along with those of the expert reviewers, will be considered by ACYF in making funding decisions. In making decisions on awards, ACYF may give preference to applications which focus on: over-represented or under-served populations; substantially innovative strategies with the potential to improve theory or practice in child welfare and child protective services; a model practice or set of procedures that holds the potential for replication by organizations that administer or deliver child welfare and/or child protective services; substantial involvement of volunteers, where appropriate; substantial involvement (either financial or programmatic) of the private sector; a favorable balance between Federal and non-Federal funds available for the proposed project; the potential for high benefit from low Federal investment; and/or substantial involvement by national or community foundations. To the greatest extent possible, funding decisions will reflect an equitable distribution of assistance among the States and geographical regions of the country, rural and urban areas, and ethnic populations. In making these decisions, ACYF may also take into account the need to avoid unnecessary duplication of effort. C. Evaluation Criteria A panel of at least three reviewers (primarily experts from outside the Federal government) will review the applications. To facilitate this review, applicants should address each requirement in the priority area description under the appropriate section of the Program Narrative Statement. The reviewers will determine the strengths and weaknesses of each application using the evaluation criteria listed below and provide verbal and written comments and assign numerical scores to each application. The point value following each criterion heading is the maximum score for that criterion. All research applications will be evaluated against the following criteria: (a) Objectives (5 points). The application pinpoints the research problem addressed; concisely states the specific objectives of the study; references theory or craft knowledge supporting the study; and states the question(s) or hypothesis(es) to be tested. (b) Background and Significance (maximum of 19 points). The application provides a thoughtful discussion about the current state of knowledge related to the research problem addressed by presenting a review of the relevant literature, including any pilot tests, in order to establish the need for the study as a replication to validate existing knowledge or a new study to fill a knowledge gap. Applicants also must indicate how the proposed study findings are expected to significantly inform policy, improve practice, and/or advance the science of child abuse and neglect research. Bibliographic references for all citations should be included. (c) Methodology (51 points). The application precisely defines the terms and variables used in the study; identifies data sources, data collection processes and instruments, including the instruments' reliability and validity with the population proposed; and describes the data analysis plan. If the [[Page 30750]] study proposes to do secondary data analysis, the application describes access to the data source. The application describes the characteristics of the target population and the rationale, strengths, and potential limitations for interpretations of findings due to the gender and ethnic composition of the proposed study sample; depicts recruitment and retention procedures; provides realistic estimates of attrition, and discusses appropriate procedures for handling attrition or interpreting the findings of the study in light of attrition. The proposed methodology protects human subjects; reflects sensitivity to ethical issues that may arise and provides for reporting suspected abuse and/or neglect as governed by applicable laws and regulations; describes procedures for soliciting approval from an institutional review board (IRB), if applicable, and protecting the integrity and confidentiality of data. The applicant(s) commits to using data processing and documentation practices in accordance with the needs of the National Data Archive on Child Abuse and Neglect and to providing study data to the Archive at the conclusion of the project, as applicable. A manual describing such practices, The Preparation of Data Sets for Analysis and Dissemination: Technical Standards for Machine-Readable Data, can be obtained free of cost from the National Data Archive on Child Abuse and Neglect located at Cornell University, Family Life Development Center, G20 MVR Hall, Ithaca, New York 14853-4401, 607-255-7794. Applicants must confirm that the final report will be prepared in the suggested format to ensure its readiness for dissemination by NCCAN and ACYF, if desired. The application provides a fiscally responsible and workable plan of action; details a reasonable time-line and target dates; includes an adequate staffing plan, listing key and support staff, consultants, any agency, organization, other key group, and/or advisory panels involved or proposed; describes the responsibilities, activities, and/or training plans for each, if applicable. The application explicitly identifies the role of the author(s) of this proposal in relation to the work plan and administrative structure. The application proposes reasonable project costs and allocates sufficient funds across component areas. This information also must be included in the budget narrative. (d) Staff Background and Organizational Experience (25 points). The application describes the qualifications of the key staff and consultants alluded to in the methods section (a curriculum vitae for each key staff person must be included with the application); the geographic accessibility of the personnel proposed; and access to special personnel resources to be tapped, if required. The application describes the adequacy of the available facilities and organizational experience to perform the pertinent tasks of the proposed project effectively and efficiently. Organizational capability statements included with applications should be no longer than two pages. If collaboration is proposed, the nature and extent of the collaboration must be described in detail, and supported by letters of commitment. The application describes the relationship between this project and any other Federally assisted work planned, anticipated, or underway, by the applicant. All demonstration and training and technical assistance applications will be evaluated against the following criteria: (a). Objectives and Need for Assistance (20 points). The application pinpoints the problem or issue requiring a solution and demonstrates the need for the assistance; states the principal and subordinate objectives of the project; provides supporting documentation or other testimonies from concerned interests other than the applicant; identifies other successful demonstration projects that may have implications for the proposed demonstration (which may include a review of the relevant literature); identifies the conceptual or theoretical framework for this model; and describes whether the proposed project replicates or modifies previously evaluated model(s) addressing the identified need. The application must pinpoint the location of the project and area and population to be served. (b). Approach (35 points). The application outlines a sound and workable plan of action and time-line and details how the proposed work will be accomplished; describes the approach in detail and points out its unique features; cites factors which might accelerate or delay this approach, giving acceptable reasons for taking this approach as opposed to others; describes and supports any unusual features of the project, such as extraordinary social and community involvements; includes an adequate staffing plan, that lists key and support staff, consultants, any agency, organization, other key group, and/or advisory panels involved or proposed; describes the responsibilities, activities, and/ or training plans for each (if applicable). The application proposes reasonable project costs and allocates sufficient funds appropriately across activities to accomplish the objectives. The application, when appropriate, identifies the kinds of data to be collected and maintained, describes procedures for informed consent of participants, where applicable, and discusses the criteria to be used to evaluate the results of the project. The application describes the evaluation methodology that will be used to determine if the process proposed was implemented, if the needs identified were addressed, and if the benefits expected were achieved. (c). Results or Benefits Expected (20 points). The application identifies the results and benefits to be derived, the extent to which they are consistent with the goals and objectives, and their contributions to policy and practice. The extent to which the proposed project costs are reasonable in view of the expected results. (d). Staff Background and Organization Experience (25 points). The application identifies the educational and professional background of the project director/principal investigator and key project staff and the experience of the organization to demonstrate the applicant's ability to administer and implement the project effectively and efficiently. The role of the author(s) of this proposal in relation to the work plan and administrative structure should be explicitly identified. The application describes the relationships between the proposed project and other Federally assisted work planned, anticipated or underway by the applicant. If the project proposed is a collaboration, the application must describe the nature and extent of the collaboration including the responsibilities of the respective agencies in carrying out the activities identified in the work-plan. D. Structure of Priority Area Descriptions Each priority area description is composed of the following sections: Eligible Applicants: This section specifies the type of organization eligible to apply under the particular priority area. Specific restrictions are noted where applicable. Purpose: This section presents the basic focus and/or broad goal(s) of the priority area. Background Information: This section briefly discusses the legislative background and the current state-of-the- [[Page 30751]] art and/or current state-of-practice supporting the need for the particular priority area activity. Relevant information on projects previously funded by ACYF and/or others, and State models are noted. Minimum Requirements for Project Design: This section presents the minimum requirements which must be addressed in response to the evaluation criteria. For research projects, these requirements relate to project objectives, background and significance, methodology, staff background and organizational experience. For demonstration projects, these requirements relate to objectives and need for assistance, approach, results or benefits expected, and staff background and organizational experience. Reviewers will use the details expected under these headings in response to each priority area to evaluate the applications. Project Duration: This section specifies the maximum allowable project period; it refers to the amount of time for which Federal funding is available. Federal Share of Project Cost: This section specifies the maximum amount of Federal support for the project for the first budget year. Matching Requirement: This section specifies the minimum non- Federal contribution, either cash or in-kind match, required in relation to the maximum Federal funds requested for the project. Anticipated Number of Projects To Be Funded: This section specifies the number of projects ACYF anticipates funding under the priority area. Applications that fail to comply with the specific priority area requirements in the section on ``Eligible Applicants'' will not be reviewed. Non-responsiveness to the section ``Minimum Requirements for the Project Design'' is likely to result in a low evaluation score by the reviewers. Applicants must clearly identify the specific priority area under which they wish to have their applications considered, and tailor their applications accordingly. Experience has shown that an application which is broader and more general in concept than the priority area description calls for invariably scores lower than one more clearly focused on, and directly responsive to, the specific priority area. E. Available Funds The ACYF intends to award new grants resulting from this announcement during the fourth quarter of Fiscal Year 1996, subject to the availability of funds. The size of the actual awards will vary from priority area to priority area. Each priority area description specifies the maximum Federal share of the project costs and the anticipated number of projects to be funded. ``Budget period'' is the interval of time (usually 12 months) into which a multi-year period of assistance (project period) is divided for budgetary and funding purposes. ``Project period'' is the total time a project is approved for support, including any extensions. Where appropriate, applicants may propose project periods which are shorter than the specified maximums. Non-Federal share contributions may exceed the minimums specified when the applicant is able to do so. However, applicants only should propose a non-Federal share they can realistically provide because ACF will disallow any unmatched Federal funds. For multi-year projects, continued Federal funding beyond the first budget period depends upon satisfactory performance by the grantee, availability of funds from future appropriations, and a determination that continued funding is in the best interest of the Government. F. Priority Area Descriptions and Requirements 1.01 University-Based Doctoral or Medical Student and Faculty Fellowships in Child Abuse and Neglect 2.01 Demonstration Models on Neglect 2.02 National Resource Center on Child Maltreatment On October 25, 1994 (Federal Register Vol. 59, No. 205, pp. 53652- 53657) NCCAN published, as required by the authorizing legislation, a notice of the proposed research and demonstration priorities for Fiscal Years 1995 and 1996. The notice provided a 60-day period for public comment on the proposed areas. NCCAN received 81 written responses. A detailed description of those responses was included in the notice of availability of funds and request for applications published on May 9, 1995 (Federal Register Vol. 60, No. 89, pp. 24700-24732). The priority areas selected for that announcement were chosen by prioritizing needs, matched to available funding levels, with due consideration of the public comments on the proposed priorities. This announcement is based on the proposed priority publication and public comments. Public responses to those proposed priority topics which were not presented in previous announcements are described here. Thirty-seven letters commented on the proposed research topic focusing on the impact of community-based family support and family preservation programs on child abuse and neglect. Almost all concurred with the direction of this priority. Some writers suggested that the target populations and the target findings needed greater clarity. By designating four populations of interest and four outcomes, the impression may have been given that all four populations and all four outcomes were to be included in each proposal, creating projects of scope and complexity exceeding available funding. Many criticisms targeted the lack of clarity between the priority area and ongoing Federal evaluations of family support and family preservation services. The proposed population categories and outcomes described in the previous announcement were intended to focus applicants' thinking on populations and outcomes of primary interest to NCCAN. If this topic is pursued, applicants should feel free to suggest (and justify) other populations or subgroups and outcomes, and select only those logically and appropriately related to the outcomes, theoretical foundation, research methods and measures proposed. Regardless of population and outcomes, each applicant will be expected to propose explorations that will inform future prevention and intervention strategies. With respect to the lack of sufficient funding for large-scale explorations of Child Protective Service (CPS) populations and service outcomes, this topic has been subsumed in the list of suggested topics for university-based doctoral or medical student and faculty fellowship studies. Regarding field-initiated research, which was not included as a separate topic in the proposed priorities, several respondents suggested reinstating the previously funded priority area because it focused the innovative thinking of the research community specifically on issues of child maltreatment. NCCAN, recognizing the importance of innovative research from the field and has taken those comments into consideration in developing this announcement. Twenty-five comments addressed the proposal to develop models for centers of excellence in research. A number of respondents questioned this approach and suggested alternatives for configuring research centers, such as developing partnerships with for-profit companies, universities, or other agencies. Seventeen respondents supported this priority area as it was described. Many comments in both categories supported the graduate research and medical research fellowships issued previously. Both [[Page 30752]] topics were intended to support the continued development of a research infrastructure and to attract new researchers to the field. These goals have been combined in priority area (1.01) for a block of fellowships for doctoral or medical students and a faculty member to conduct child abuse and neglect research. Seventeen responses addressed the two priority areas proposing service demonstrations on models for neglect. Thirteen made suggestions for improving the priority area, only one did not support the priority. Comments focused primarily on clarifying the populations to be served and studied, the service approaches to be demonstrated, and the partnerships required between the proposed organization and child protection service agencies and/or community-based programs. Many writers suggested additional populations meriting study (e.g., families with substance abuse and addiction problems, families experiencing domestic violence, parents with mental retardation, families of adoption, and families with children with special needs). Respondents expressed the need to select clearly defined, homogeneous populations in order to conduct rigorous research and have generalizable findings. With regard to the two approaches discussed in the announcement (ecological and psychosocial), over half supported a combined approach. The remainder stressed the importance of matching the approach to client needs, available resources, and selection of outcome variables and measures. Those comments have been incorporated into the priority appearing in this announcement. Based on comments, the project length will be expanded to five years. Ongoing infrastructure support activities, such as resource centers and training and technical assistance activities, also received support for continuation. Other respondents indicated the need to acknowledge the role parental substance abuse and domestic violence may play in preventing and treating child abuse and neglect regardless of topic focus. NCCAN supports including these issues, as appropriate, and will reiterate in the priority area descriptions the need to focus on parental substance abuse and domestic violence as important issues, as research study variables, and as co-occurring problems in demonstration projects. NCCAN encourages applications from applicants who bring a special understanding of the dynamics of communities over-represented in the child protective service and child welfare systems. There is a compelling need to generate knowledge about these populations through research based upon conceptual frameworks that include appropriate cultural and sociological perspectives. Researchers with experience or the potential to examine over-represented and/or under-served populations can make significant and unique contributions to knowledge about child abuse and neglect, diversity, and over-representation. Applications from Historically Black Colleges and Universities may receive special consideration, in concurrence with Departmental precedent. Applicants are strongly encouraged to build new studies on the findings of previously funded NCCAN grants. Information on prior research and demonstration projects supported by NCCAN and other studies on child maltreatment are available from the Clearinghouse on Child Abuse and Neglect Information, P.O. Box 1182, Washington, DC 20013, (1-800-FYI-3366). The Clearinghouse (a member of the Consortium of Clearinghouses) can provide information on the other Clearinghouses and Resource Centers having special information resources on substance abuse and domestic violence. 1.01 University-Based Doctoral or Medical Student and Faculty Fellowships in Child Abuse and Neglect Eligible Applicants: Institutions of higher education, including medical schools, teaching hospitals, and Historically Black Colleges and Universities on behalf of qualified doctoral students, medical students, residents (medical, surgical, pediatric, or others), house officers, or fellows enrolled in the institution and faculty employed by the institution. To be eligible to administer such a grant, the institution must be fully accredited by one of the regional institutional accrediting commissions recognized by the U.S. Secretary of Education and the Council on Post-Secondary Accreditation, the Accreditation Council for Graduate Medical Education, American Association of Medical Colleges, or the Liaison Committee for Medical Education, as applicable. While an individual is considered to be the beneficiary of the grant support, awards will be made only to eligible institutions on behalf of their qualified candidates. Purpose: To provide support for doctoral students, medical students, residents, house officers, or fellows, who show promise and demonstrate serious interest and commitment to issues of child maltreatment and faculty to conduct research on critical issues in child abuse prevention, identification, and treatment in order to cultivate the academic infrastructure, support the growth of the university-based research capacity for child abuse and neglect, and encourage doctoral-level students and faculty to pursue careers in child abuse and neglect research. Background Information: The research community has highlighted the need to draw new researchers into the field of child abuse and neglect (Understanding Child Abuse and Neglect, National Research Council, Washington, D.C.: 1993). During FYs 1991, 1992, and 1994, NCCAN funded 26 graduate research fellowships for doctoral candidates to complete dissertations addressing critical issues in child abuse and neglect. This activity proved rewarding for NCCAN and garnered the support of the field. NCCAN is expanding this effort to include doctoral students, medical students, residents, or fellows, and faculty interested in pursuing child abuse and neglect research projects. Faculty, doctoral students, and students in medical schools, resident or fellows programs are encouraged to apply for support through their schools and interdisciplinary programs in social sciences, human development, community and family development, human services, social work, medicine, nursing, special education, early childhood education, psychology, sociology, anthropology, public health, child study, minority studies, and criminology. NCCAN proposes to award funds for fellowships in blocks to eligible institutions. Each institutional block would contain up to four students and one faculty member. The students and faculty member may pursue their own individual research or work on coordinated projects on child abuse and neglect. In addition to submitting all the required reports to NCCAN, the faculty member's work may lead to publications and the students' work may lead to their doctoral dissertations or fulfill the requirements of a major research project (e.g., independent study projects requiring a minimum commitment of 6 to 9 graduate credit hours). Institutions will be selected competitively, with attention to geographic distribution, and with at least one grant to Historically Black Colleges and Universities (HBCU) in order to generate research and researchers particularly responsive to issues of cultural context and the over-representation of some groups in child protective systems. [[Page 30753]] Examples of the proposed topics to be addressed and issues to be studied for these fellowships include, but are not limited to, the following topics: (1) Prevention effectiveness studies; (2) CPS service interventions and outcomes studies; (3) treatment outcome studies; (4) studies focusing on over-represented and/or under-served populations in the child welfare and child protective services; (5) studies of the impact of managed care on child maltreatment prevention and treatment programs; and (6) secondary analysis of existing data sets. Medical students, residents, and fellows are also encouraged to consider research on new medical screening, diagnostic, or interview protocol techniques or treatments for child abuse and neglect. NCCAN has a general interest in research conducted in cooperation/ partnership with State or local Child Protective Services/child welfare systems, prevention-oriented and/or service-providing community-based organizations and/or systems, and teaching hospitals with multidisciplinary child protection teams. (1) Prevention effectiveness study topics might include tests of effectiveness for various models of developmentally appropriate, comprehensive prevention services in various settings; effectiveness of parenting education and peer-support parent programs; studies of how interactions between fathers and children promote or reduce the risk of child maltreatment; studies of the relationship of parental discipline practices and child maltreatment; or other topics related to prevention effectiveness as proposed by applicants. (2) Research studies on CPS service interventions and outcomes with particular interest on families: (a) Referred to CPS, whose cases were unsubstantiated or unfounded, but were found to need services, and were referred for, or provided services, whose cases are now open or closed; (b) follow-up studies with families whose child abuse or neglect cases were substantiated or indicated, who received services that might have included short-term placement and reunification, and whose cases are now closed; and (c) families whose child abuse or neglect cases have been substantiated or indicated, who are receiving services which might include short-term placement and reunification, and whose cases are currently open. We are also interested in system responses to cases involving multiple forms of abuse. NCCAN encourages studies on the combination of neglect and physical abuse; cases involving substance abuse and/or domestic violence are also of interest. Type of services and moderating variables that impact the outcomes of service should be carefully defined. Family and child outcome variables might include service impacts on: (a) Child health and development, child and family functioning, recidivism, and frequency and duration of removals from these families, if any; (b) costs/cost effectiveness of service delivery approaches; (c) other issues related to these three populations as proposed by applicants. (3) Treatment outcome study topics of interest include studies of the effectiveness of various approaches to the treatment of: (a) Children subjected to multiple forms of maltreatment; (b) child abuse and domestic violence; and (c) child abuse and substance abuse; or other subtopics related to these three areas, as proposed by applicants. (4) Studies exploring the unique cultural dynamics of communities over-represented in the child protective service and child welfare systems; studies generating knowledge about the conceptual frameworks, sociological, psychological, and cultural perspectives which can inform interventions operating in these communities; examinations of over- represented and/or under-served populations; or other topics related to cultural dynamics as proposed by applicants. (5) Studies of the impact of managed care on the delivery of child maltreatment prevention and treatment programs. (6) Secondary analysis of existing data. NCCAN encourages the use of NIS, NCANDS, data-sets collected through other ACF-funded awards, and data stored at the National Data Archives on Child Abuse and Neglect located at Cornell University, Family Life Development Center, G20 MVR Hall, Ithaca, New York 14853-4401; telephone: 607-255-7794. Each applicant institution should prepare a single submission packet composed of (up to) five individual research proposals. Each individual proposal will be evaluated against the criteria for evaluating research projects. For this priority area only, an exception is made regarding the 60-page limit described elsewhere in this announcement. However, the text of each individual proposal should not exceed a maximum of 15 pages. The total text for the five proposals cannot exceed a maximum of 75 pages. Application forms and all required attachments can add up to 25 more pages. Thus the total length of the institutional submission, including text, application, and attachments may be up to 100 pages. Human Subjects Assurances must be completed for each individual proposal; however, all other assurances should be submitted only once, by the institutional applicant. The academic institution, in accepting the award, agrees to waive overhead charges (indirect costs) and pass the entirety of the funds on to students and faculty as fellowships. Minimum Requirements for Project Design: As part of addressing the evaluation criteria outlined in Part II of this announcement, each applicant must address the following items in the program narrative section of the proposal. ObjectivesPinpoint the research problem being addressed. State the specific objectives of the study. State the question(s) or hypothesis(es) to be tested. Background and Significance Discuss the current state of knowledge related to the research problem. Provide a review of the relevant literature, including any pilot tests. Demonstrate a conceptual framework that includes appropriate cultural perspectives and references theory or craft knowledge in support of the study. Establish the need for the study as either a replication to validate existing knowledge or as a new study to fill a knowledge gap. If applicable, indicate how the proposed study is distinguished from other on-going research of which it is a part. Indicate how the proposed study findings significantly inform policy, improve practice, and/or advance the science of child abuse and neglect research. Include all bibliographic references. Methodology Describe the proposed methodology. Define the terms, variables, and design to be used in the study. Describe the population and sampling plan, the rationale, strengths, and potential limitations for interpretations of findings due to the gender and ethnic composition of the proposed study sample. Describe recruitment and retention procedures; provide realistic estimates of attrition, and discuss appropriate procedures for handling attrition or interpreting the findings of the study in light of attrition. [[Page 30754]] Identify data sources, data collection procedures, and instruments, including information on reliability and validity of the instruments with the population proposed. If the study proposes secondary data analysis, describe access to the data source. Describe data management to safeguard the integrity and confidentiality of data. Describe the plan to prepare study data according to sound data processing and documentation practices in accordance with the needs of the National Data Archive on Child Abuse and Neglect. Provide a data analysis plan. Assure protections for human subjects; describe procedures for soliciting approval from an institutional review board (IRB), if applicable. Reflect sensitivity to ethical issues that may arise and make provision for reporting suspected abuse and/or neglect as governed by applicable laws and regulations. Provide a fiscally responsible and workable plan of action; detail a reasonable time-line and target dates; include an adequate staffing plan, listing key and support staff, consultants, any agency, organization, other key group, and/or advisory panels involved or proposed; describe the responsibilities, activities, and/or training plans for each, if applicable. Describe strategies for disseminating the findings in a manner that would be useful to other researchers and practitioners in the field. Staff Background and Organizational Experience Include evidence that the student candidates are enrolled and in good standing as doctoral or medical students, residents, or fellows in the sponsoring institution and verify the employment status of the faculty candidate. Document the agreement between the dean or chairperson and the faculty candidate indicating that the faculty candidate will be permitted to conduct the research project as part of his/her academic duties, and if needed, that a senior faculty member would be available to guide the project. Include a letter of support from a tenured faculty member, advisor, Dean, or Chairperson for each student seeking a fellowship, recommending the student's capability to undertake a research project of this nature. Describe the corporate capability of the institution to support a research initiative, in terms of the existing research infrastructure and academic climate. Include a short resume for each candidate (limit to one page) including information on education and relevant experiences. Describe the relationship between this project and any other Federally-assisted work planned, anticipated, or underway, by the applicant. Provide assurances that each candidate will attend a three-day annual spring meeting of NCCAN research grantees in Washington, D.C.; prepare a pre-meeting abstract of the research, quarterly progress reports, and a final project report in an NCCAN- suggested format ensuring ease of dissemination and utilization; prepare and submit at the conclusion of each individual study, the data in accordance with the needs of the National Data Archive on Child Abuse and Neglect, as described. Project Duration: The length of the project may not exceed 17 months. Federal Share of the Project Costs: The maximum Federal share of the project is not to exceed $75,000 per university or institution to fund up to four student-candidates at $13,750 each and $20,000 for the faculty candidate. Matching Requirement: There is no matching requirement. Anticipated Number of Projects to be Funded: It is anticipated that 3 sites will be funded. 2.01 Demonstration Models on Neglect Eligible Applicants: Public or private nonprofit agencies, organizations, and institutions of higher learning. For-profit organizations are eligible to participate as subgrantees or subcontractors of eligible non-profit organizations. Purpose: The intent of this priority area is to fund service models that address the prevention, intervention, and treatment needs of neglected children and their families. These models should provide for (a) early identification of families at risk of neglect, (b) identification of chronically neglectful families, and (c) neglected children (in placements or reunified) who may be in need of special services. Projects may either present innovative approaches or be replications of previously evaluated and promising models. In either case, proposed models should build on previous research findings and NCCAN-sponsored symposium findings; they should also incorporate mental health, substance abuse, parenting education, and family support services. They should collect data on the costs and potential cost benefits of providing the proposed services. A strong evaluation component will be essential. Background Information: Child neglect is the most common form of child maltreatment today. According to the latest NCANDS data available (Child Maltreatment 1994: Reports from the States to the National Center on Child Abuse and Neglect), 52.9% of all cases substantiated by child protection service agencies are neglect cases. Since NCANDS began tracking cases, neglect has been the predominant type of maltreatment. This is also true of the NIS data. Yet, efforts to focus attention on neglect have lagged significantly behind other forms of maltreatment. Research indicates that the consequences for children who are neglected have a long-term negative impact. Child victims of neglect fail to develop secure psychological attachments as infants, and this seriously hinders their subsequent development. Neglected preschool children demonstrate a lack of readiness for learning, behavior problems, and less active interaction with peers. School-aged neglected children do poorly in school. The connection between delinquency and neglect is less clear, although according to some preliminary data from the U.S. Department of Justice's National Institute of Justice (Research Preview, February 1996), adolescents neglected as children were equally likely to be arrested for violent crimes as physically abused children. Neglected children under age 3 are at high risk for child fatalities. Parents of neglected children are also more likely to: have limited intellectual functioning; experience depression; abuse alcohol and drugs; and have limited education (Gaudin, Polansky, Kilpatrick and Shilton. ``Loneliness, Depression, Stress and Social Supports in Neglectful Families,'' October 1993, American Journal of Orthopsychiatry, Vol. 63, No. 4, pp. 597-605). To address one aspect of this problem, NCCAN convened a symposium on chronic neglect in June 1993. Building upon lessons learned from previous demonstration models on neglect, the symposium addressed consensus-building on definitions, strategies for change through empowerment, research, treatment and policy topics. The Chronic Neglect Symposium Proceedings (1993) are available from the NCCAN Clearinghouse (800-394-3366). A number of studies referred to in the Proceedings suggest that programs for neglectful families based on building interpersonal strengths, fostering individual empowerment, and ensuring the provision of basic human needs in a safe environment were most likely to improve parenting, self-esteem [[Page 30755]] and coping ability among the neglectful population. Designing services for families that neglect children is a challenge. Both ecological and psycho-social factors influence the manifestation of neglect. The many differences among neglectful families, including cultural and sociological distinctions, dictate a service model based on careful assessment of the family and services designed specifically for them. Projects may be based on either an ecological, i.e., a neighborhood model, or the psycho-social model. If a project chooses the ecological model, it must be aggressive in its outreach to the community; conversely, if a project chooses to follow the psycho-social model, it must include home-based/family support services, parenting education, substance abuse and mental health services in its approach to addressing neglect. The U.S. Advisory Board on Child Abuse and Neglect focuses on the ecological aspects in their report, Neighbors Helping Neighbors (1993). The report recommends several strategies for strengthening neighborhoods and improving the quality of support available to families within their own communities, as a national strategy for the protection of children. Recommendations include: Involving residents as participants, planners and managers of neighborhood services, Encouragement of foster grandparent programs, Empowerment through home ownership, Implementing prevention zones by public/private partnerships, and Funding more family resource centers. The importance of neighborhoods in combatting neglect is also emphasized in the 1994 Kids Count Data Book (The Annie E. Casey Foundation, pp. 4-7). The report issued by the National Research Council (NRC, 1993, pp. 50-52) also highlights the ecological aspects. That report states that ``dysfunctional families are often part of a dysfunctional environment'' (p. 60). Its recommendations for intervention programs include: home-based approaches, improving socio-economic conditions and reversing social isolation. Other research focuses on the psycho-social foundations of neglect. DiLeonardi (``Families in Poverty and Chronic Neglect of Children,'' November 1993, Families in Society, Vol. 74, No. 9, pp. 557-562), reported that ``family empowerment, the use of groups to develop social support networks, and the assistance of volunteers or paraprofessionals as home visitors or parent aides, appear to be beneficial'' to families reported for neglect. The study concluded that families were able to reverse their neglectful child-rearing patterns with this model of service. DePanfilis (``Social Isolation of Neglectful Families: A Review of Social Support, Assessment and Intervention Models,'' February 1993, Child Maltreatment, Vol. 1, Issue 1, pp. 37-52) also has suggested that programs that address the social isolation of neglectful parents by teaching them social and interactional skills work well. Gaudin, et al., also found that family dynamics explains a significant portion of the variance in quality of parenting and neglect. Depression and substance abuse, for example, have been suggested as powerful forces in family dynamics and mediators of neglect. Recent work by the Kansas Cooperative Extension Service (Smith, C.A., Cudaback, D., Goddard, H.W., & Myers-Walls, J., 1994, National Extension Parent Education Model) may provide a useful guide for designing the parent education component of a comprehensive psycho- social model. Parent education can help parents in many ways including: learning to care for themselves, managing personal stress, managing family resources; providing children with developmentally appropriate opportunities and learning appropriate disciplinary techniques; maintaining developmentally appropriate expectations of children; improving communication skills, building social support systems; and learning to access community, social service, and family support resources. Structurally, these projects are intended to function cooperatively as a cluster. NCCAN proposes funding a minimum of four demonstration projects on neglect. Participation in a cluster affords the grantees the greatest opportunities to cooperate and collaborate. NCCAN will assist this cooperation by providing assistance through a technical assistance contract, encouraging meetings to develop common evaluation criteria, data elements, and measures to maximize comparability of evaluation findings. Evaluations will be required of each demonstration project. Priority will be give to those who provide evidence of partnership between CPS/IV-B agencies which provide Family Preservation/Family Support services and community-based mental health/ family resource centers. NCCAN is especially interested in examinations of core services and studies of essential elements in treatment, and outcome studies. Projects which address issues related to family preservation and family support are encouraged as are demonstrations related to treatment outcomes and practitioner evaluations. Minimum Requirements for Project Design: As part of addressing the evaluation criteria outlined in Part II of this announcement, each applicant must address the following items in the program narrative section of the proposal. Objectives and Need for Assistance Pinpoint the child neglect-related problem or issue that needs to be addressed and establish the need for assistance; state the principal and subordinate objectives of the project. State goals and objectives in specific, measurable form for evaluation purposes. Identify the conceptual framework used as the basis for the proposed model and provide a review of the relevant literature; include information about similar successful demonstration projects that may have implications for the proposed demonstration; and provide supporting documentation or other testimonies from concerned interests other than the applicant. Demonstrate an awareness of current initiatives in the field and how the approach being proposed would build on this work. Describe whether the proposed project replicates or modifies a previously-evaluated model which addresses the identified need. Identify the precise location of the project, community, and population to be served by the proposed project. Approach Describe the approach in detail and point out its unique features including sensitivity to cultural, sociological, psychological, and ethnic dynamics which have affected the choice of approach. Describe a sound and workable plan of action and time-line which match the scope of the project and explain how the proposed work will be accomplished. Cite factors which might accelerate or delay this approach, giving acceptable reasons for taking this approach as opposed to others. Include an adequate staffing plan, listing key and support staff, consultants, any agency, organization, other key group, and/or advisory panels involved or proposed; describe the responsibilities, activities, and/or [[Page 30756]] training plans for each (if applicable). If the proposed project is a collaboration, the application must describe the nature and extent of the collaboration and the responsibilities of the respective agencies in carrying out the activities identified in the work-plan. Propose an evaluation plan. Discuss the methods and criteria to be used to evaluate the process, outcomes, or impacts of the project in terms of the objectives of the project. Identify the kinds of data to be collected and maintained for this purpose. An external evaluator may be hired or an internal evaluation may be designed. It is recommended that approximately 15 percent of the proposed budget be set aside for evaluation efforts. Results or Benefits Expected Identify the results and benefits to be derived by clients, community, agency, and NCCAN as a result of the implementation and evaluation of this project. Discuss how project findings are likely to improve practice and inform policy related to neglectful families. Justify proposed project costs in view of the expected results. Describe strategies for disseminating findings to other practitioners in the field. Staff Background and Organization Experience Identify the educational and professional background of the project director and key project staff. Describe the organization's ability to administer and implement the project effectively and efficiently. Identify precisely the role of the author(s) of this proposal in relation to the work plan and administrative structure. Describe the relationships between the proposed project and other Federally assisted work planned, anticipated, or underway by the applicant. Provide assurances that at least one key staff person will attend an annual three-day meeting in Washington, DC. Grant recipients will be expected to follow an NCCAN- suggested format in preparing final program reports and copies of final reports and other products shall be provided to the Clearinghouse. Project Duration: The length of the project must not exceed a five- year period. Federal Share of Project Cost: The maximum Federal share of this project is not to exceed $150,000 for the first 12-month budget period or a maximum of $750,000 for a period of five years. Funding for subsequent years may exceed the amount specified above for the first budget period based on a comprehensive needs assessment submitted by the grantee and the availability of funds. Matching Requirement: Grantees must provide a non-Federal share or match of at least 25 percent of the Federal funds awarded. The non- Federal share may be met by cash or in-kind contributions, although applicants are encouraged to meet their match requirements through cash contributions. Therefore, a five-year project requesting $750,000 in Federal funds (based on an award of $150,000 per 12-month budget period) must include a match of at least $187,500 ($37,500 per budget period). Anticipated Number of Projects To Be Funded: It is anticipated that a minimum of four projects will be funded. 2.02 National Resource Center on Child Maltreatment Eligible Applicants: Any State, local, public or private non-profit agency or organization, including accredited colleges and universities, may apply under this announcement. Applications developed jointly by State, local, and community-based social service agencies, foundations, colleges or universities and private non-profit organizations that bring complementary expertise to bear on the resource needs of the child maltreatment field are encouraged. Purpose: The primary purpose of the National Resource Center on Child Maltreatment (NRCCM) is to deliver direct, on-site, as well as state-of-the-art communication, technology-based training, technical assistance, consultation, and related resource materials and information to State, local, Tribal, and other publicly-administered or supported agencies and organizations that work in child maltreatment prevention, identification and treatment services, (e.g., Child Protective Service agencies, Children's Justice Act grantees, Prevention grantees, and Tribal agencies and Organizations) to build their capacity for developing, expanding, strengthening and/or improving the quality and effectiveness of such services for child victims of maltreatment and their families. A second purpose of the NRCCM is to engage in ancillary activities which support the delivery of training and technical assistance to the field, and to provide advice, consultation, materials and information, as requested, to private organizations and agencies, including disability organizations, and individuals engaged in child maltreatment prevention, identification, and treatment services. The NRCCM will have a central role helping States, local agencies and Tribes to improve and strengthen child maltreatment prevention, identification, and treatment services for children and their families. This will be accomplished by collaborating and coordinating with related Administration on Children, Youth and Family (ACYF) funded Resource Centers, Training and Technical Assistance Networks, contractors, and Clearinghouses, especially with those funded by the National Center on Child Abuse and Neglect (NCCAN), Children's Bureau (CB), and the Family and Youth Services Bureau (FYSB). The NRCCM must possess the expertise, knowledge and skill to provide quality training, technical assistance, consultation, and appropriate materials and information to relevant target audiences, both public and private. Specific training, technical assistance, consultation and related material and information needs of publicly-administered or supported child maltreatment prevention, identification and treatment service agencies will be identified in consultation with NCCAN Central Office staff, the ten ACYF Regional Offices, the State agency staff, and plans for meeting those needs will be coordinated with representatives of NCCAN, CB and FYSB funded Resource Centers, Training and Technical Assistance Networks, contractors, and clearinghouses. Similarly, the need for ancillary activities to support delivery of training and technical assistance, consultation, advice, materials and information for private organizations and agencies, including disability organizations, and individuals who work in the field of child maltreatment, will be identified in consultation with the relevant organizations, agencies and/or individuals. Background Information: Section 105(b)C of the Child Abuse Prevention and Treatment Act (CAPTA), as amended, requires NCCAN to provide technical assistance to public and private agencies and organizations, including disability organizations and persons who work with children with disabilities, to assist such agencies and organizations in planning, improving, developing and carrying out programs and activities related to the prevention, identification, and treatment of child abuse and neglect. Section 106(b) of CAPTA, as amended, requires Resource Centers to be established that serve defined geographic areas; that are staffed by multi-disciplinary teams trained in the [[Page 30757]] prevention, identification and treatment of child abuse and neglect and that provide advice and consultation to individuals, agencies and organizations requesting such services. To carry out this CAPTA mandate, in Fiscal Year 1991, NCCAN supported a National Resource Center on Child Sexual Abuse, operated by the National Children's Advocacy Center, Huntsville, Alabama, and a National Resource Center on Child Abuse and Neglect, specializing in physical abuse and neglect, operated by the American Humane Association, Denver, Colorado. These Centers were funded through five- year cooperative agreements starting September 30, 1991 and ending on September 29, 1996. The functions of these resource centers were broadly defined. The major activities under each of these resource centers have been in the areas of knowledge-building, dissemination of information, and consultation. The Centers also conducted a limited amount of training and technical assistance activities. To comply with the CAPTA mandate on a continuous basis starting with Fiscal Year 1996, NCCAN seeks to support a minimum of one but not more than two National Resource Center(s) on Child Maltreatment (NRCCM) through a cooperative agreement(s). This NRCCM is expected to have qualified, multi-disciplinary personnel trained in prevention, identification, and treatment in the whole spectrum of child maltreatment--child neglect, physical abuse, psychological maltreatment, and sexual abuse--adequate resources, organizational, professional, and educational capability and the expertise to carry out the intent of this announcement. The decision to fund a minimum of one but not more than two resource centers starting with Fiscal Year 1996, reorienting the focus of the center(s) to training, technical assistance, consultation, and delivering related materials and information, across the whole spectrum of child maltreatment, is made after taking into consideration several factors. They include: the lessons learned from the operation of two specialized resource centers during the past five years; funding limitations; the need to avoid duplication of effort; the need to maximize the use of Federal dollars and its benefits for the field; the requirement of field staff to deal with clients who often are victims of multiple types of abuse; current trends; and a critical need to develop training and technical assistance that will address specific State needs. NCANDS is the primary source of national information on abused and neglected children known to State child protective services agencies. Child Maltreatment 1994 discusses NCANDS findings from 1994 data and presents the overall child abuse and neglect data for the five years of data collection, 1990 through 1994. According to this report, in 1994, 48 States reported that 1,011,628 children were determined to have been victims of abuse and neglect, and State child protective services agencies received reports of alleged maltreatment involving more than 2.9 million children. The report found that 53 percent of maltreated children suffered neglect, 26 percent physical abuse, 14 percent sexual abuse, and 5 percent emotional abuse, and 22 percent other forms of maltreatment. The loss of life is the most severe repercussion of child abuse and neglect. Forty-three States reported that 1,111 children died as a result of abuse in 1994. The number of children who were the subjects of reports of alleged maltreatment increased from 2.6 million in 1990 to 2.9 million in 1994. The number of ``substantiated'' or ``indicated'' victims of maltreatment increased almost 27 percent from 1990 to 1994. Characteristics of victims were consistent across the years. In each of the five years, neglect was the predominant type of maltreatment. The number of neglect victims was consistently more than two times the number of physical abuse, the next most common type of maltreatment. Almost all of the victims were 8 years of age or younger; though a surprising 25 percent were twelve years of age and older. Fifty-two percent of all victims were female and 46 percent were males. Child protective services agencies identified almost 5,400 children who died as result of abuse or neglect from 1990 through 1994. Other recent studies using different reporting methodologies have estimated that many more children are being abused than are ultimately verified by States. For example, preliminary results from the Third National Incidence Study of Child Abuse and Neglect (NIS-3) estimate that almost three times the State-reported number of children are maltreated. In this context, the Federal government is redefining its relationship with States and other child welfare agencies. The new partnership being forged is based upon the vision wherein all concerned agencies collaborate and cooperate to provide a continuum of services to meet the needs of the increasing number of maltreated children and their families. This comes at a time when steady increase in caseloads, consisting of much more complex, multiple problem cases, are confronting child maltreatment prevention, identification, and treatment service programs. Throughout the country child maltreatment service agencies, practitioners, and university-based personnel now are demonstrating resiliency and creativity in response to these circumstances. Skilled child maltreatment service professionals are devising innovative solutions to numerous challenges, more often than not, in the face of insufficient human, material, and financial resources. To meet the challenges of the current period, and overcome existing resource deficiencies, capacity-building is needed by State, local, Tribal and other private agencies, organizations as well as individuals who are engaged in the prevention, identification and treatment of child maltreatment. NRCCM is vital to making the most of this opportunity with training and technical assistance, consultation, advice and provision of related resource materials and information. Support for this newly conceptualized NRCCM reflects NCCAN's commitment to enhance the continuum of services for maltreated children and their families. The term `child maltreatment' in this priority announcement is broadly defined to include child neglect, physical abuse, psychological maltreatment, medical neglect, and sexual abuse. `Cooperative agreement' in this announcement refers to Federal assistance in which substantial Federal involvement is anticipated. Minimum Requirements for Project Design: As part of addressing the evaluation criteria outlined in Part II of this announcement, each applicant must address the following items in the program narrative section of the proposal. Objectives and Need for Assistance Describe the training, technical assistance, consultation, and related materials and information needs of publicly supported/ administered agencies and organizations engaged in child maltreatment prevention, identification, and treatment. Identify the auxiliary activities needed to support training, technical assistance, consultation to the field, and related materials and information needs for private organizations and agencies engaged in child maltreatment prevention, identification, and treatment. Demonstrate awareness of training and technical assistance initiatives currently underway at State and national levels. Describe how the [[Page 30758]] proposal does not duplicate existing efforts. State the primary and secondary objectives of the proposed resource center in specific measurable terms. Approach Describe the proposed activities in detail; point out the scope and unique features. List the type of training, technical assistance, consultation, advice, and related material and information needs to be provided. Provide a plan for delivering training, technical assistance, consultation, materials and information in response to the identified needs, from year one through year five (a minimum of one training and/or technical assistance activity in at least one of the States in each of the ten ACYF regions is expected during the first year; subsequent year's activities will be phased in) and specify the delivery mode (e.g., principally on-site and in combination with the use of state-of-the-art communications technology). Include a time-line for the activities. Cite factors which might accelerate or delay this, giving acceptable reasons for addressing these factors. Include a staffing plan for each activity, listing key and support staff, consultants, any agency, organization, other key group, and/or advisory panels involved or proposed; describe the qualifications, responsibilities and activities for each person. Applications developed jointly by two or more organizations must identify a single lead agency to be the primary administrator of the NRCCM and the official recipient of the award; the other applicant may be named as co-applicant. Joint applications must delineate methods for coordinating activities and each organization's responsibilities and contributions to completing the tasks identified in the work plan. Present strategies for obtaining input from the ten ACYF regional offices, NCCAN central office, the State and local agencies themselves. Describe a plan for coordinating and establishing effective linkages and collaborative working relationships with relevant programs and other training and technical assistance providers funded by Federal agencies. Specifically, NRCCM is expected to establish effective linkages and appropriate coordination with the Community Based Family Resource Program, NCCAN Emergency Services Technical Service Contractor, seven resource centers funded by the Children's Bureau, the three statewide Family Resource and Support model projects initially funded by the Family and Youth Services Bureau (FYSB), and the Technical Assistance Resource Coordination contract funded by the Children's Bureau to assure effective utilization of resources and to avoid duplication of efforts. Describe a plan for utilizing Federal funds and matching contributions to meet requests for on-site training, technical assistance, consultation, materials, etc., from public agencies. Since the Resource Center will have considerable, but finite, Federal funds, applicants must present strategies for prioritizing requests and maximizing available financial resources, including techniques such as, but not limited to, subsidized cost-sharing arrangements with the service recipient State, local, and Tribal agencies and/or organizations. Justify the proposed costs. Describe how on-going requests for consultation and advice, and requests for training, technical assistance, related materials and information from the private agencies, organizations, and individuals will be handled, including techniques such as subsidized cost-sharing. Justify the proposed costs. Describe a plan to ensure that the services and program activities of the Resource Center respond to cultural issues, ethnically and culturally sensitive activities are furnished to the populations being served, and the Resource Center staff is ethnically and culturally diverse, and reflective of the populations being served. Describe a plan to continually develop a national pool of professionals in the field to serve as consultants and to link these individuals with agencies, organizations, and individuals requesting assistance. Provide a plan for the NRCCM's own evaluation of the quality of its training, technical assistance, consultation, and provision of related materials and information, including plans for eliciting consumer input. Discuss the methods and criteria to be used to evaluate the process, outcomes, and impacts of the NRCCM. Identify the kinds of data to be collected and maintained for the internal evaluations. This data must also be made available to an independent external evaluator, selected and funded by NCCAN. Results or Benefits Expected Identify the results and benefits to be derived from the project in terms of the objectives of the proposal and as assessed by the evaluation. Justify the proposed project costs in view of the expected benefits and results. Staff Background and Organization Experience Describe the full-time and part-time staff, as well as project consultants, if any, with specific expertise, including educational qualifications, training, experience and discipline of each. Identify precisely the role of the author(s) of this proposal in relation to the work plan and administrative structure. Demonstrate the organization's ability to administer and implement the project effectively and efficiently. Describe the organization's orientation to training and technical assistance and any conceptual frameworks to be used in designing and delivering training and technical assistance (e.g., multi-disciplinary, inter-agency, cross-program, comprehensive, collaborative). Document a commitment to and experience in providing training, technical assistance, consultation, and related materials and information, to agencies and organizations, both public and private, as well as to individuals engaged in prevention, identification and treatment of child maltreatment among economically, racially, and culturally diverse population, including organizations and individuals who serve maltreated children with disabilities and their families. Describe the administrative and organizational structure and the management plan for the project. An organizational chart depicting these structures must be included. Describe the relationships between the proposed project and other Federally assisted work planned, anticipated, or underway by the applicant. Provide assurance that the NRCCM will cooperate with a third-party evaluator which will evaluate the operation of the center, its outreach, and outcomes over the first two-year period and agree to the principle that further funding will depend on the evaluation findings. This evaluation will be funded by NCCAN under a separate contract. Provide assurances that two key staff persons would attend two annual 1 or 2 day meetings in Washington, D.C. for the project directors of Resource and Research Centers and Clearinghouses organized by the Children's Bureau. Provide assurances that at least two key staff members will attend up to six meetings in Washington during the first year for periodic review of the work plan and/or attend various NCCAN- [[Page 30759]] sponsored grantee meetings. This includes an initial meeting in Washington, D.C. with the Federal Project Officer and other NCCAN management representative(s) within 30 days of the award. Provide assurance that in situations where the applicant's organizational position on a particular child maltreatment-related policy or practice differs from the Federal position, the Federal position will guide NRCCM activity and will be reflected in all public statements and publications of the NRCCM. Agree to enter into a Cooperative Agreement which will require NCCAN review and approval of work plans, including activities involving Headquarters and Regional Office staff, topics to be covered in training (training curricula, trainers manual, hand-outs), issues for technical assistance, topics for consultation, location and frequency of training and technical assistance activities, modes of training and technical assistance, any subcontracts and their work plans and budgets, and other materials prior to finalization by the grantee. Agree to work out the terms of the Cooperative Agreement and the respective responsibilities of the Federal staff and the project staff prior to the actual award. Project Duration: The length of the project must not exceed 60 months. Federal Share of the Project Costs: The maximum Federal share of the project is not to exceed $700,000 for the first 12 months. Funding for subsequent years of the project may exceed the amount specified above for the first budget period based on a comprehensive needs assessment submitted by the grantee and the availability of funds. Matching Requirement: Grantees must provide a non-Federal share or match of at least 25 percent of the Federal funds awarded. The non- Federal share may be met by cash or in-kind contributions, although applicants are encouraged to meet their match requirements through cash contributions. Therefore, a one-year project requesting $700,000 in Federal funds must include a match of at least $175,000. Anticipated Number of Projects: It is anticipated that a minimum of one but no more than two projects will be funded. Part III--Instructions for the Development and Submission of Applications This part contains information and instructions for submitting applications in response to this announcement. Application forms are provided along with a checklist for assembling an application package. Please copy and use these forms in submitting an application. Potential applicants should read this section carefully in conjunction with the information in the specific priority area under which the application is to be submitted. The priority area descriptions are in Part II. A. Paperwork Reduction Act of 1995 Under the Paperwork Reduction Act of 1995 (Pub. L. 104-13), the Department is required to submit to OMB for review and approval any reporting and record keeping requirements or program announcements. This program announcement meets all information collection requirements approved for ACF grant applications under OMB Control Number 0970-0139. B. Availability of Forms Eligible applicants interested in applying for funds must submit a complete application including the required forms at the end of this program announcement in Appendix B. In order to be considered for a grant under this announcement, an application must be submitted on the Standard Form 424 (approved by the Office of Management and Budget under Control Number 0348-0043). A copy has been provided. Each application must be signed by an individual authorized to act for the applicant and to assume responsibility for the obligations imposed by the terms and conditions of the grant award. Applicants requesting financial assistance for non-construction projects must file the Standard Form 424B, ``Assurances: Non-Construction Programs'' (approved by the Office of Management and Budget under control number 0348-0040). Applicants must sign and return the Standard Form 424B (approved by the Office of Management and Budget under Control Number 0348-0340) with their application. Applicants must provide a certification regarding lobbying (approved by the Office of Management and Budget under Control Number 0348-0046). Prior to receiving an award in excess of $100,000, applicants shall furnish an executed copy of the lobbying certification (approved by the Office of Management and Budget under control number 0348-0046). Applicants must sign and return the certification with their application. Applicants must make the appropriate certification of their compliance with the Drug-free Workplace Act of 1988. By signing and submitting the application, applicants are providing the certification and need not mail back the certification with the application. Applicants must make the appropriate certification that they are not presently debarred, suspended or otherwise ineligible for an award. By signing and submitting the application, applicants are providing the certification and need not mail back the certification with the application. Applicants will be held accountable for the smoking prohibition in Pub. L. 103-227, Part C Environmental Tobacco Smoke (also known as the Pro-Children's Act of 1994). A copy of the Federal Register notice which implements the smoking prohibition is included with the forms. By signing and submitting the application, applicants are providing the certification and need not mail back the certification with the application. All applicants for research projects must provide a Protection of Human Subjects Assurance as specified in the policy described on the HHS Form 596 (approved by the Office of Management and Budget under control number 0925-0137) in Appendix B. If there is a question regarding the applicability of this assurance, contact the Office of Protection from Research Risks of the National Institutes of Health at (301)-496-7041. Those applying for or currently conducting research projects are further advised of the availability of a Certificate of Confidentiality through the National Institute of Mental Health of the Department of Health and Human Services. To obtain more information and to apply for a Certificate of Confidentiality, contact the Division of Extramural Activities of the National Institute of Mental Health at (301) 443-4673. C. Required Notification of the State Single Point of Contact The discretionary funds awarded by NCCAN are covered under Executive Order 12372, Intergovernmental Review of Federal Programs, and 45 CFR Part 100, Intergovernmental Review of Department of Health and Human Services Program and Activities. Under the Order, States may design their own processes for reviewing and commenting on proposed Federal assistance under covered programs. As of February, 1996, the following jurisdictions have elected not to participate in the Executive Order process: Alaska, Colorado, Connecticut, Hawaii, Idaho, Kansas, Louisiana, Massachusetts, Minnesota, Montana, Nebraska, Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, [[Page 30760]] Virginia, Washington, American Samoa, Palau. Applicants from these jurisdictions or for projects administered by Federally recognized Indian Tribes need take no action in regard to E.O. 12372. All remaining jurisdictions participate in the Executive Order process and have established Single Points of Contact (SPOCs). Applicants from participating jurisdictions should contact their SPOCs as soon as possible to alert them of the prospective applications and receive instructions. Applicants must submit any required material to the SPOCs as soon as possible so that the program office can obtain and review SPOC comments as part of the award process. The applicant must submit all required materials, if any, to the SPOC and indicate the date of this submittal (or the date of contact if no submittal is required) on the Standard Form 424, item 16a. Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application deadline to comment on proposed new or competing continuation awards. SPOCs are encouraged not to submit routine endorsements as official recommendations. Additionally, SPOCs are requested to differentiate clearly between advisory comments and official State process recommendations which may trigger the ``accommodate or explain'' rule. Comments submitted directly to ACF should be addressed to: Department of Health and Human Services, Administration for Children and Families, Division of Discretionary Grants, 370 L'Enfant Promenade SW., Mail Stop 6C-462, Washington, DC 20447. A list of the Single Points of Contact for each State and Territory is included as Appendix A of this announcement. D. Deadline for Submission of Applications The closing time and date for receipt of applications is 4:30 p.m. (Eastern time) on August 16, 1996. Applications received after 4:30 p.m. will be classified as late. Deadline: Mailed applications shall be considered as meeting an announced deadline if they are received on or before the deadline time and date at the U.S. Department of Health and Human Services, Administration for Children and Families, Division of Discretionary Grants, 370 L'Enfant Promenade S.W., Mail Stop 6C-462, Washington, DC 20447, Attention: __________ (Reference Announcement Number and specify Priority Area 1.01, 2.01, or 2.02.) Applicants are responsible for mailing applications well in advance, when using the mail services, to ensure that the applications are received on or before the deadline time and date. Applications hand-carried by applicants, applicant couriers, or by overnight/express mail couriers shall be considered as meeting an announced deadline if they are received on or before the deadline date, between the hours of 8:00 a.m. and 4:30 p.m. (Eastern time) at the U.S. Department of Health and Human Services, Administration for Children and Families, Division of Discretionary Grants, ACF Mailroom, 2nd Floor Loading Dock, Aerospace Center, 901 D Street, SW, Washington, DC 20024 between Monday and Friday (excluding Federal Holidays). Applicants are cautioned that express/overnight mail services do not always deliver as agreed. ACF cannot accommodate transmission of applications by fax. Therefore, applications faxed to ACF will not be accepted regardless of date or time of submission and time of receipt. Late Applications: Applications which do not meet the criteria stated above are considered late applications. Each late applicant will be notified that its application will not be considered in the current competition. Extension of Deadlines: The deadline may be extended for all applicants because of acts of God such as floods, hurricanes, etc., or when there is a widespread disruption of the mail. However, if the granting agency does not extend the deadline for all applicants, it may not waive or extend the deadline for any applicants. E. Instructions for Preparing the Application and Completing Application Forms The SF 424, 424A (approved by the Office of Management and Budget under Control Number 0348-0044), 424B, and certifications have been reprinted for your convenience in preparing the application. You should reproduce single-sided copies of these forms from the reprinted forms in the announcement, typing your information onto the copies. Please do not use forms directly from the Federal Register announcement, as they are printed on both sides of the page. Please prepare your application in accordance with the following instructions: 1. SF 424 Page 1, Application Cover Sheet. Please read the following instructions before completing the application cover sheet. An explanation of each item is included. Complete only the items specified. Top of Page. Enter the single priority area number under which the application is being submitted under only one priority area. Item 1. Type of submission--Preprinted on the form. Item 2. Date Submitted and Applicant Identifier--Date application is submitted to ACYF and applicant's own internal control number, if applicable. Item 3. Date Received By State--State use only (if applicable). Item 4. Date Received by Federal Agency--Leave blank. Item 5. Applicant Information Legal Name--Enter the legal name of the applicant organization. For applications developed jointly, enter the name of the lead organization only. There must be a single applicant for each application. Organizational Unit--Enter the name of the primary unit within the applicant organization which will actually carry out the project activity. Do not use the name of an individual as the applicant. If this is the same as the applicant organization, leave the organizational unit blank. Address--Enter the complete address that the organization actually uses to receive mail, since this is the address to which all correspondence will be sent. Do not include both street address and P.O. box number unless both must be used in mailing. Name and telephone number of the person to be contacted on matters involving this application (include area code)--Enter the full name (including academic degree, if applicable) and telephone number of a person who can respond to questions about the application. This person should be accessible at the address given here and will receive all correspondence regarding the application. Item 6. Employer Identification Number (EIN)--Enter the employer identification number of the applicant organization, as assigned by the Internal Revenue Service, including, if known, the Central Registry System suffix. Item 7. Type of Applicant--Self-explanatory. Item 8. Type of Application--Preprinted on the form. Item 9. Name of Federal Agency--Preprinted on the form. Item 10. Catalog of Federal Domestic Assistance Number and Title-- Enter the Catalog of Federal Domestic Assistance (CFDA) number assigned to the program under which assistance is requested and its title, as indicated in the relevant priority area description. Item 11. Descriptive Title of Applicant's Project--Enter the project title. The title is generally short and is [[Page 30761]] descriptive of the project, not the priority area title. Item 12. Areas Affected by Project--Enter the governmental unit where significant and meaningful impact could be observed. List only the largest unit or units affected, such as State, county, or city. If an entire unit is affected, list it rather than subunits. Item 13. Proposed Project--Enter the desired start date for the project and projected completion date. Item 14. Congressional District of Applicant/Project--Enter the number of the Congressional District where the applicant's principal office is located and the number of the Congressional district(s) where the project will be located. If statewide, a multi-State effort, or nationwide, enter 00. Items 15. Estimated Funding Levels. In completing 15a through 15f, the dollar amounts entered should reflect, for a 12-month budget period, the total amount requested. If the proposed project period exceeds 17 months, enter only those dollar amounts needed for the first 12 months of the proposed project. Item 15a. Enter the amount of Federal funds requested in accordance with the preceding paragraph. This amount should be no greater than the maximum amount specified in the priority area description. Items 15b-e. Enter the amount(s) of funds from non-Federal sources that will be contributed to the proposed project. Items b-e are considered cost-sharing or matching funds. The value of third party in- kind contributions should be included on appropriate lines as applicable. Item 15f. Enter the estimated amount of income, if any, expected to be generated from the proposed project. Do not add or subtract this amount from the total project amount entered under item 15g. Describe the nature, source and anticipated use of this income in the Project Narrative Statement. Item 15g. Enter the sum of items 15a-15e. Item 16a. Is Application Subject to Review By State Executive Order 12372 Process? Yes, except for the 18 jurisdictions listed above.-- Enter the date the applicant contacted the SPOC regarding this application. Select the appropriate SPOC from the listing provided at the end of Part III. The review of the application is at the discretion of the SPOC. The SPOC will verify the date noted on the application. If there is a discrepancy in dates, the SPOC may request that the Federal agency delay any proposed funding until September 1994. Item 16b. Is Application Subject to Review By State Executive Order 12372 process? No.--Check the appropriate box if the application is not covered by E.O. 12372 or if the program has not been selected by the State for review. Item 17. Is the Applicant Delinquent on any Federal Debt?-- Check the appropriate box. This question applies to the applicant organization, not the person who signs as the authorized representative. Categories of debt include audit disallowances, loans and taxes. Item 18. To the best of my knowledge and belief, all data in this application/preapplication are true and correct. The document has been duly authorized by the governing body of the applicant and the applicant will comply with the attached assurances if the assistance is awarded.--To be signed by the authorized representative of the applicant. A copy of the governing body's authorization for signature of this application by this individual as the official representative must be on file in the applicant's office, and may be requested from the applicant. Item 18a-c. Typed Name of Authorized Representative, Title, Telephone Number--Enter the name, title and telephone number of the authorized representative of the applicant organization. Item 18d. Signature of Authorized Representative--Signature of the authorized representative named in Item 18a. At least one copy of the application must have an original signature. Use colored ink (not black) so that the original signature is easily identified. Item 18e. Date Signed--Enter the date the application was signed by the authorized representative. 2. SF 424A--Budget Information--Non-Construction Programs. This is a form used by many Federal agencies. For this application, Sections A, B, C, E and F are to be completed. Section D does not need to be completed. Sections A and B should include the Federal as well as the non- Federal funding for the proposed project covering the first year budget period. Section A--Budget Summary. This section includes a summary of the budget. On line 5, enter total Federal costs in column (e) and total non-Federal costs, including third party in-kind contributions, but not program income, in column (f). Enter the total of (e) and (f) in column (g). Section B--Budget Categories. This budget, which includes the Federal as well as non-Federal funding for the proposed project, covers the first year budget period if the proposed project period exceeds 12 months. It should relate to item 15g, total funding, on the SF 424. Under column (5), enter the total requirements for funds (Federal dollars in one column and non-Federal in the other) by object class category. A separate, itemized, budget justification for each line item is required. The types of information to be included in the justification are indicated under each category. For multiple-year projects, it is desirable to provide this information for each year of the project. Personnel--Line 6a. Enter the total costs of salaries and wages of applicant/grantee staff. Do not include the costs of consultants, which should be included on line 6h, Other. Justification: Identify the principal investigator or project director, if known. Specify by title or name the percentage of time allocated to the project, the individual annual salaries, and the cost to the project (both Federal and non-Federal) of the organization's staff who will be working on the project. Fringe Benefits--Line 6b. Enter the total cost of fringe benefits, unless treated as part of an approved indirect cost rate. Justification: Provide a break-down of amounts and percentages that comprise fringe benefit costs, such as health insurance, FICA, retirement insurance, etc. Travel--6c. Enter total costs of out-of-town travel (travel requiring per diem) for staff of the project. Do not enter costs for consultant's travel or local transportation, which should be included on Line 6h, Other. Justification: Include the name(s) of traveler(s), total number of trips, destinations, length of stay, transportation costs and subsistence allowances. Equipment--Line 6d. Enter the total costs of all equipment to be acquired by the project. Equipment is defined as non-expendable tangible personal property having a useful life of more than one year and a acquisition cost of $5,000 or more per unit. Justification: Equipment to be purchased with Federal funds must be justified. The equipment must be required to conduct the project, and the applicant organization or its subgrantees must not have the equipment or a reasonable facsimile available to the project. The justification also must contain plans for future use or disposal of the equipment after the project ends. Supplies--Line 6e. Enter the total costs of all tangible expendable personal property (supplies) other than those included on Line 6d. Justification: Specify general categories of supplies and their costs. [[Page 30762]] Contractual--Line 6f. Enter the total costs of all contracts, including (1) procurement contracts (except those which belong on other lines such as equipment, supplies, etc.) and (2) contracts with secondary recipient organizations, including delegate agencies. Also include any contracts with organizations for the provision of technical assistance. Do not include payments to individuals on this line. If the name of the contractor, scope of work, and estimated total costs are not available or have not been negotiated, include on Line 6h, other. Justification: Attach a list of contractors, indicating the names of the organizations, the purposes of the contracts, and the estimated dollar amounts of the awards as part of the budget justification. Whenever the applicant/grantee intends to delegate part or all of the program to another agency, the applicant/grantee must complete this section (Section B, Budget Categories) for each delegate agency by agency title, along with the supporting information. The total cost of all such agencies will be part of the amount shown on Line 6f. Provide back-up documentation identifying the name of contractor, purpose of contract, and major cost elements. Applicants who anticipate procurement that will exceed $5,000 (non-governmental entities) or $25,000 (governmental entities) and are requesting an award without competition should include a sole-source justification in the proposal which at a minimum should include the basis for contractor's selection, justification for lack of competition when competitive bids or offers are not obtained and basis for award cost or price. (Note: Previous or past experience with a contractor is not sufficient justification for sole source.) Construction--Line 6g. Not applicable. New construction is not allowable. Other--Line 6h. Enter the total of all other costs. Where applicable, such costs may include, but are not limited to: insurance, medical and dental costs, noncontractual fees and travel paid directly to individual consultants, local transportation (all travel which does not require per diem is considered local travel), space and equipment rentals, printing and publication, computer use, training costs, including tuition and stipends, training service costs, including wage payments to individuals and supportive service payments, and staff development costs. Note that costs identified as miscellaneous and honoraria are not allowable. Justification: Specify the costs included. Total Direct Charge--Line 6i. Enter the total of Lines 6a through 6h. Indirect Charges--6j. Enter the total amount of indirect charges (costs). If no indirect costs are requested, enter none. Generally, this line should be used when the applicant has a current indirect cost rate agreement approved by the Department of Health and Human Services or another Federal agency. Local and State governments should enter the amount of indirect costs determined in accordance with DHHS requirements. When an indirect cost rate is requested, these costs are included in the indirect cost pool and should not be charged again as direct costs to the grant. Justification: Enclose a copy of the indirect cost rate agreement. Total--Line 6k. Enter the total amounts of lines 6i and 6j. Program Income--Line 7. Enter the estimated amount, if any, expected to be generated from this project. Do not add or subtract this amount from the total project amount. Justification: Describe the nature, source, and anticipated use of program income in the Program Narrative Statement. Section C--Non-Federal Resources. This section summarizes the amounts of non-Federal resources that will be applied to the grant. Enter this information on line 12 entitled Totals. In-kind contributions are defined in 45 CFR, Part 74.51 and 45 CFR Part 92.3, as property or services which benefit a grant-supported project or program and which are contributed by non-Federal third parties without charge to the grantee, the subgrantee, or a cost-type contractor under the grant or subgrant. Justification: Describe third party in-kind contributions, if included. Section D--Forecasted Cash Needs, Not applicable. Section E--Budget Estimate of Federal Funds Needed For Balance of the Project. This section should only be completed if the total project period exceeds 12 months. Totals--Line 20. For projects that will have more than one budget period, enter the estimated required Federal funds for the second budget period (months 13 through 24) under column (b) First. If a third budget period will be necessary, enter the Federal funds needed for months 25 through 36 under (c) Second. Columns (d) and (e) would be used in the case of a 60 month project. Section F--Other Budget Information. Direct Charges--Line 21, Not applicable. Indirect Charges--Line 22, Enter the type of indirect rate (provisional, predetermined, final or fixed) that will be in effect during the funding period, the estimated amount of the base to which the rate is applied, and the total indirect expense. Remarks--Line 23. If the total project period exceeds 12 months, you must enter your proposed non-Federal share of the project budget for each of the remaining years of the project. 3. Project Summary Description. Clearly mark this separate page with the applicant name as shown in item 5 of the SF 424, the priority area number as shown at the top of the SF 424, and the title of the project as shown in item 11 of the SF 424. The summary description should not exceed 300 words. These 300 words become part of the computer database on each project. Care should be taken to produce a summary description which accurately and concisely reflects the application. It should describe the objectives of the project, the approaches to be used and the outcomes expected. The description should also include a list of major products that will result from the proposed project, such as software packages, materials, management procedures, data collection instruments, training packages, or videos. (Please note that audiovisuals should be closed captioned.) The project summary description, together with the information on the SF 424, will constitute the project abstract. It is the major source of information about the proposed project and is usually the first part of the application that the reviewers read in evaluating the application. At the bottom of the page, following the summary description, type up to 10 key words which best describe the proposed project, the service(s) involved and the target population(s) to be covered. These key words will be used for computerized information retrieval for specific types of funded projects. 4. Program Narrative Statement. The Program Narrative Statement is a very important part of an application. It should be clear, concise, and address the specific requirements mentioned under the priority area description in Part II. The narrative should provide information concerning how the application meets the evaluation criteria using the following headings for Research applications: (a) Objectives (b) Background and Significance (c) Methodology (d) Staff Background and Organizational Experience All demonstration applications should use the following headings: [[Page 30763]] (a) Objective and Need for Assistance (b) Approach (c) Results or Benefits Expected (d) Staff Background and Organization Experience The narrative should be typed double-spaced on a single-side of an 8\1/2\'' x 11'' plain white paper, with 1" margins on all sides, using standard type sizes or fonts (e.g., Times Roman 12 or Courier 10). Applicants should not submit reproductions of larger size paper reduced to meet the size requirement. Applicants are requested not to send pamphlets, brochures, or other printed material along with their application as they pose copying difficulties. All pages of the narrative (including charts, references/footnotes, tables, maps, exhibits, etc.) must be sequentially numbered, beginning with ``Objectives'' or ``Objectives and Need for Assistance'' as page number one. The length of the application, including the application forms and all attachments, should not exceed 60 pages, except for applications for priority area 1.01 which has different page limits as described in that section of the announcement. Anything over the limit will not be reproduced and distributed to reviewers. Applicants should understand that, except for priority area 1.01, only the first 60 pages of material will be reviewed. A page is a single side of an 8\1/2\ x 11'' sheet of paper. Applicants are requested not to send pamphlets, brochures or other printed material along with their application as these pose xeroxing difficulties. These materials, if submitted, will not be included in the review process if they exceed the page limit criteria. Each page of the application will be counted to determine the total length. 5. Organizational Capability Statement. The Organizational Capability Statement should consist of a brief (two pages is suggested) background description of how the applicant organization (or the unit within the organization that will have responsibility for the project) is organized, the types and quantity of services it provides, and/or the research and management capabilities it possesses. This description should cover capabilities not included in the Program Narrative Statement. It may include descriptions of any current or previous relevant experience, or describe the competence of the project team and its demonstrated ability to produce a final product that is readily comprehensible and usable. An organization chart showing the relationship of the project to the current organization must be included. 6. Part IV--Assurances/Certifications. Applicants are required to file an SF 424B, Assurances--Non-Construction Programs and the Certification Regarding Lobbying. Both must be signed and returned with the application. In addition, applicants must certify their compliance with: (1) Drug-free Workplace Requirements; and (2) Debarment and Other Responsibilities. Copies of the assurances/certifications are reprinted at the end of this announcement and should be reproduced, as necessary. A duly authorized representative of the applicant organization must certify that the applicant is in compliance with these assurances/ certifications. A signature on the SF 424 indicates compliance with the Drug-free Workplace Requirements, and Debarment and Other Responsibilities certifications. A signature on the application constitutes an assurance that the applicant will comply with the pertinent Departmental regulations contained in 45 CFR Part 74. F. Checklist for a Complete Application The checklist below is for your use to ensure that your application package has been properly prepared. --One original, signed and dated application, plus two copies. Applications for different priority areas are packaged separately; --Application is from an organization which is eligible under the eligibility requirements defined in the priority area description (screening requirement); --Application length does not exceed 60 pages, unless otherwise specified in the priority area description. A complete application consists of the following items in this order: --Application for Federal Assistance (SF 424, REV 4-88); --A completed SPOC certification with the date of SPOC contact entered in line 16, page 1 of the SF 424; --Budget Information-Non-Construction Programs (SF 424A, REV 4-88); --Budget justification for Section B--Budget Categories; --Table of Contents; --Letter from the Internal Revenue Service to prove non-profit status, if necessary; --Copy of the applicant's approved indirect cost rate agreement, if appropriate; --Project summary description and listing of key words; --Program Narrative Statement (See Part III, Section D); --Organizational capability statement, including an organization chart; --Any appendices/attachments; --Assurances-Non-Construction Programs (Standard Form 424B, REV 4-88); --Certification Regarding Lobbying; and --Certification of Protection of Human Subjects, if necessary. G. The Application Package Each application package must include an original and two copies of the complete application. Each copy should be stapled securely (front and back if necessary) in the upper left-hand corner. All pages of the narrative (including charts, tables, maps, exhibits, etc.) must be sequentially numbered, beginning with page one. In order to facilitate handling, please do not use covers, binders or tabs. Do not include extraneous materials as attachments, such as agency promotion brochures, slides, tapes, film clips, minutes of meetings, survey instruments or articles of incorporation. Do not include a self-addressed, stamped acknowledgement card. All applicants will be notified automatically about the receipt of their application. If acknowledgement of receipt of your application is not received within eight weeks after the deadline date, please notify the ACYF Operations Center by telephone at 1-800-351-2293. Dated: June 7, 1996. Olivia A. Golden, Commissioner, Administration on Children, Youth and Families. Appendix A--OMB State Single Point of Contact Listing Arizona Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue, Fourteenth Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315, FAX: (602) 280-1305 Arkansas Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of Intergovernmental Services, Department of Finance and Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas 72203, Telephone: (501) 682-1074, FAX: (501) 682-5206 Alabama Jon C. Strickland, Alabama Department of Economic and Community Affairs, Planning and Economic Development Division, 401 Adams Avenue, Montgomery, Alabama 36103-5690, Telephone: (205) 242-5483, FAX: (205) 242-5515 California Grants Coordinator, Office of Planning & Research, 1400 Tenth Street, Room 121, Sacramento, California 95814, Telephone (916) 323- 7480, FAX: (916) 323-3018 [[Page 30764]] Delaware Francine Booth, State Single Point of Contact Executive Department, Thomas Collins Building, P.O. Box 1401, Dover, Delaware 19903, Telephone: (302) 739-3326, FAX: (302) 739-5661 District of Columbia Charles Nichols, State Single Point of Contact, Office of Grants Mgmt. & Dev., 717 14th Street, N.W.--Suite 500, Washington, D.C. 20005, Telephone: (202) 727-6554, FAX: (202) 727-1617 Florida Florida State Clearinghouse, Department of Community Affairs, 2740 Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904) 922-5438, FAX: (904) 487-2899 Georgia Tom L. Reid III, Administrator, Georgia State Clearinghouse, 254 Washington Street, S.W.--Room 401J, Atlanta, Georgia 30334, Telephone: (404) 656-3855 or (404) 656-3829, FAX: (404) 656-7938 Illinois Barbara Beard, State Single Point of Contact, Department of Commerce and Community Affairs, 620 East Adams, Springfield, Illinois 62701, Telephone: (217) 782-1671, FAX: (217) 534-1627 Indiana Amy Brewer, State Budget Agency, 212 State House, Indianapolis, Indiana 46204, Telephone: (317) 232-5619, FAX: (317) 233-3323 Iowa Steven R. McCann, Division for Community Assistance, Iowa Department of Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309, Telephone: (515) 242-4719, FAX: (515) 242-4859 Kentucky Ronald W. Cook, Office of the Governor, Department of Local Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601- 8204, Telephone: (502) 573-2382, FAX: (502) 573-2512 Maine Joyce Benson, State Planning Office, State House Station #38, Augusta, Maine 04333, Telephone: (207) 287-3261, FAX: (207) 287-6489 Maryland William G. Carroll, Manager, State Clearinghouse for Intergovernmental Assistance, Maryland Office of Planning, 301 W. Preston Street--Room 1104, Baltimore, Maryland 21201-2365, Staff Contact: Linda Janey, Telephone: (410) 225-4490, FAX: (410) 225-4480 Michigan Richard Pfaff, Southeast Michigan Council of Governments, 1900 Edison Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone: (313) 961-4266 Mississippi Cathy Malette, Clearinghouse Officer, Department of Finance and Administration, 455 North Lamar Street, Jackson, Mississippi 39202- 3087, Telephone: (601) 359-6762, FAX: (601) 359-6764 Missouri Lois Pohl, Federal Assistance Clearinghouse, Office of Administration, P.O. Box 809, Room 760, Truman Building, Jefferson City, Missouri 65102, Telephone: (314) 751-4834, FAX: (314) 751-7819 Nevada Department of Administration, State Clearinghouse, Capitol Complex, Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX: (702) 687-3983 New Hampshire Jeffrey H. Taylor, Director, New Hampshire Office of State Planning, Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155, FAX: (603) 271-1728 New Jersey Gregory W. Adkins, Assistant Commissioner, New Jersey Department of Community Affairs Please direct all correspondence and questions about intergovernmental review to: Andrew J. Jaskolka, State Review Process, Intergovernmental Review Unit CN 800, Room 813A, Trenton, New Jersey 08625-0800, Telephone: (609) 292-9025, FAX: (609) 633-2132 New Mexico Robert Peters, State Budget Division, Room 190, Bataan Memorial Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640 New York New York State Clearinghouse, Division of the Budget, State Capitol, Albany, New York 12224, Telephone: (518) 474-1605 North Carolina Chrys Baggett, Director, N.C. State Clearinghouse, Office of the Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina 27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571 North Dakota North Dakota Single Point of Contact, Office of Intergovernmental Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505- 0170, Telephone: (701) 224-2094, FAX: (701) 224-2308 Ohio Larry Weaver, State Single Point of Contact, State Clearinghouse, Office of Budget and Management, 30 East Broad Street, 34th Floor, Columbus, Ohio 43266-0411 Please direct correspondence and questions about intergovernmental review to: Linda Wise, Telephone: (614) 466-0698, FAX: (614) 466-5400 Rhode Island Daniel W. Varin, Associate Director, Department of Administration/ Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode Island 02908-5870, Telephone: (401) 277-2656, FAX: (401) 277-2083 Please direct correspondence and questions to: Review Coordinator, Office of Strategic Planning South Carolina Omeagia Burgess, State Single Point of Contact, Grant Services, Office of the Governor, 1205 Pendleton Street--Room 477, Columbia, South Carolina 29201, Telephone: (803) 734-0494, FAX: (803) 734-0385 Texas Tom Adams, Governor's Office, Director, Intergovernmental Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512) 463-1771, FAX: (512) 463-1880 Utah Carolyn Wright, Utah State Clearinghouse, Office of Planning and Budget, Room 116, Stater Capitol, Salt Lake City, Utah 84114, Telephone: (801) 538-1535, FAX: (801) 538-1547 Vermont Nancy McAvoy, State Single Point of Contact, Pavilion Office Building, 109 State Street, Montpelier, Vermont 05609, Telephone: (802) 828-3326, FAX: (802) 828-3339 West Virginia Fred Cutlip, Director, Community Development Division, W. Virginia Development Office, Building #6, Room 553, Charleston, West Virginia 25305, Telephone: (304) 558-4010, FAX: (304) 558-3248 Wisconsin Martha Kerner, Section Chief, State/Federal Relations, Wisconsin Department of Administration, 101 East Wilson Street--6th Floor, P.O. Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-2125, FAX: (608) 267-6931 Wyoming Sheryl Jeffries, State Single Point of Contact, Herschler Building 4th Floor, East Wing, Cheyenne, Wyoming 82002, Telephone: (307) 777- 7574, FAX: (307) 638-8967 Territories Guam Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and Management Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96910, Telephone: 011-671-472-2285, FAX: 011-671-472-2825 Puerto Rico Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning Board, Federal Proposals Review Office, Minillas Government Center, P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809) 727-4444, (809) 723-6190, FAX: (809) 724-3270, (809) 724-3103 North Marianna Islands State Single Point of Contact, Planning and Budget Office, Office of the Governor, Saipan, CM, Northern Marianna Islands 96950 [[Page 30765]] Virgin Islands Jose George, Director, Office of Management and Budget, #41 Norregade Emancipation Garden Station, Second Floor, Saint Thomas, Virgin Islands 00802 Please direct all questions and correspondence about intergovernmental review to: Linda Clarke, Telephone: (809) 774-0750, FAX: (809) 776-0069 BILLING CODE 4184-01-P [[Page 30766]] [GRAPHIC] [TIFF OMITTED] TN17JN96.016 BILLING CODE 4184-01-C [[Page 30767]] Instructions for the SF 424 This is a standard form used by applicants as a required facesheet for preapplication and applications submitted for Federal assistance. It will be used by Federal agencies to obtain applicant certification that States which have established a review and comment procedure in response to Executive Order 12372 and have selected the program to be included in their process, have been given an opportunity to review the applicant's submission. Item and Entry 1. Self-explanatory. 2. Date application submitted to Federal agency (or State if applicable) & applicant's control number (if applicable). 3. State use only (if applicable). 4. If this application is to continue or revise an existing award, enter present Federal identifier number. If for a new project, leave blank. 5. Legal name of applicant, name of primary organizational unit which will undertake the assistance activity, complete address of the applicant, and name and telephone number of the person to contact on matters related to this application. 6. Enter Employer Identification Number (EIN) as assigned by the Internal Revenue Service. 7. Enter the appropriate letter in the space provided. 8. Check appropriate box and enter appropriate letter(s) in the space(s) provided: --``New'' means a new assistance award. --``Continuation'' means an extension for an additional funding/ budget period for a project with a projected completion date. --``Revision'' means any change in the Federal Government's financial obligation or contingent liability from an existing obligation. 9. Name of Federal agency from which assistance is being requested with this application. 10. Use the Catalog of Federal Domestic Assistance number and title of the program under which assistance is requested. 11. Enter a brief descriptive title of the project. If more than one program is involved, you should append an explanation on a separate sheet. If appropriate (e.g., construction or real property projects), attach a map showing project location. For preapplications, use a separate sheet to provide a summary description of this project. 12. List only the largest political entities affected (e.g., State, counties, cities). 13. Self-explanatory. 14. List the applicant's Congressional District and any District(s) affected by the program or project. 15. Amount requested or to be contributed during the first funding/budget period by each contributor. Value of in-kind contributions should be included on appropriate lines as applicable. If the action will result in a dollar change to an existing award, indicate only the amount of the change. For decreases, enclose the amounts in parentheses. If both basic and supplemental amounts are included, show breakdown on an attached sheet. For multiple program funding, use totals and show breakdown using same categories as item 15. 16. Applicants should contact the State Single Point of Contact (SPOC) for Federal Executive Order 12372 to determine whether the application is subject to the State intergovernmental review process. 17. This question applies to the applicant organization, not the person who signs as the authorized representative. Categories of debt include delinquent audit disallowances, loans and taxes. 18. To be signed by the authorized representative of the applicant. A copy of the governing body's authorization for you to sign this application as official representative must be on file in the applicant's office. (Certain Federal agencies may require that this authorization be submitted as part of the application.) BILLING CODE 4184-01-P [[Page 30768]] [GRAPHIC] [TIFF OMITTED] TN17JN96.017 [[Page 30769]] [GRAPHIC] [TIFF OMITTED] TN17JN96.018 BILLING CODE 4184-01-C [[Page 30770]] Instructions for the SF-424A General Instructions This form is designed so that application can be made for funds from one or more grant programs. In preparing the budget, adhere to any existing Federal grantor agency guidelines which prescribe how and whether budgeted amounts should be separately shown for different functions or activities within the program. For some programs, grantor agencies may require budgets to be separately shown by function or activity. For other programs, grantor agencies may require a breakdown by function or activity. Sections A, B, C, and D should include budget estimates for the whole project except when applying for assistance which requires Federal authorization in annual or other funding period increments. In the latter case, Sections A, B, C, and D should provide the budget for the first budget period (usually a year) and Section E should present the need for Federal assistance in the subsequent budget periods. All applications should contain a breakdown by the object class categories shown in Lines a-k of Section B. Section A. Budget Summary Lines 1-4, Columns (a) and (b) For applications pertaining to a single Federal grant program (Federal Domestic Assistance Catalog number) and not requiring a functional or activity breakdown, enter on Line 1 under Column (a) the catalog program title and the catalog number in Column (b). For applications pertaining to a single program requiring budget amounts by multiple functions or activities, enter the name of each activity or function on each line in Column (a), and enter the catalog number in Column (b). For applications pertaining to multiple programs where none of the programs require a breakdown by function or activity, enter the catalog program title on each line in Column (a) and the respective catalog number on each line in Column (b). For applications pertaining to multiple programs where one or more programs require a breakdown by function or activity, prepare a separate sheet for each program requiring the breakdown. Additional sheets should be used when one form does not provide adequate space for all breakdown of data required. However, when more than one sheet is used, the first page should provide the summary totals by programs. Lines 1-4, Columns (c) Through (g.) For new applications, leave Columns (c) and (d) blank. For each line entry in Columns (a) and (b), enter in Columns (e), (f), and (g) the appropriate amounts of funds needed to support the project for the first funding period (usually a year). For continuing grant program applications, submit these forms before the end of each funding period as required by the grantor agency. Enter in Columns (c) and (d) the estimated amounts of funds which will remain unobligated at the end of the grant funding period only if the Federal grantor agency instructions provide for this. Otherwise, leave these columns blank. Enter in columns (e) and (f) the amounts of funds needed for the upcoming period. The amount(s) in Column (g) should be the sum of amounts in Columns (e) and (f). For supplemental grants and changes to existing grants, do not use Columns (c) and (d). Enter in Column (e) the amount of the increase or decrease of Federal funds and enter in Column (f) the amount of the increase or decrease of non-Federal funds. In Column (g) enter the new total budgeted amount (Federal and non-Federal) which includes the total previous authorized budgeted amounts plus or minus, as appropriate, the amounts shown in Columns (e) and (f). The amount(s) in Column (g) should not equal the sum of amounts in Columns (e) and (f). Line 5--Show the totals for all columns used. Section B. Budget Categories In the column headings (1) through (4), enter the titles of the same programs, functions, and activities shown on Lines 1-4, Column (a), Section A. When additional sheets are prepared for Section A, provide similar column headings on each sheet. For each program, function or activity, fill in the total requirements for funds (both Federal and non-Federal) by object class categories. Lines 6a-i--Show the totals of Lines 6a to 6h in each column Line 6i--Show the amount of indirect cost. Line 6k--Enter the total of amounts on Lines 6i and 6j. For all applications for new grants and continuation grants for total amount in column (5), Line 6k, should be the same as the total amount shown in Section A, Column (g), Line 5. For supplemental grants and changes to grants, the total amount of the increase or decrease as shown in Columns (1)-(4), Line 6k should be the same as the sum of the amounts in Section A, Columns (e) and (f) on Line 5. Line 7--Enter the estimated amount of income, if any, expected to be generated from this project. Do not add or subtract this amount from the total project amount. Show under the program narrative statement the nature and source of income. The estimated amount of program income may be considered by the federal grantor agency in determining the total amount of the grant. Section C. Non-Federal-Resources Lines 8-11--Enter amounts of non-Federal resources that will be used on the grant. If in-kind contributions are included, provide a brief explanation on a separate sheet. Column (a)--Enter the program titles identical to Column (a), Section A. A breakdown by function or activity is not necessary. Column (b)--Enter the contribution to be made by the applicant. Column (c)--Enter the amount of the State's cash and in-kind contribution if the applicant is not a State or State agency. Applicants which are a State or State agencies should leave this column blank. Column (d)--Enter the amount of cash and in-kind contributions to be made from all other sources. Column (e)--Enter totals of Columns (b), (c), and (d). Line 12--Enter the total for each of Columns (b)-(e). The amount in Column (e) should be equal to the amount on Line 5, Column (f), Section A. Section D. Forecasted Cash Needs Line 13--Enter the amount of cash needed by quarter from the grantor agency during the first year. Line 14--Enter the amount of cash from all other sources needed by quarter during the first year. Line 15--Enter the totals of amounts on Lines 13 and 14. Section E. Budget Estimates of Federal Funds Needed for Balance of the Project Lines 16-19--Enter in Column (a) the same grant program titles shown in Column (a), Section A. A breakdown by function or activity is not necessary. For new applications and continuation grant applications, enter in the proper columns amounts of Federal funds which will be needed to complete the program or project over the succeeding funding periods (usually in years). This section need not be completed for revisions (amendments, changes, or supplements) to funds for the current year of existing grants. If more than four lines are needed to list the program titles, submit additional schedules as necessary. Line 20--Enter the total for each of the Columns (b)-(e). When additional schedules are prepared for this Section, annotate accordingly and show the overall totals on this line. Section F. Other Budget Information Line 21--Use this space to explain amounts for individual direct object-class cost categories that may appear to be out of the ordinary or to explain the details as required by the Federal grantor agency. Line 22--Enter the type of indirect rate (provisional, predetermined, final or fixed) that will be in effect during the funding period, the estimated amount of the base to which the rate is applied, and the total indirect expense. Line 23--Provide any other explanations or comments deemed necessary. Assurances--Non-Construction Programs Note: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the awarding agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such is the case, you will be notified. As the duly authorized representative of the applicant I certify that the applicant: 1. Has the legal authority to apply for Federal assistance, and the institutional, managerial and financial capability (including funds sufficient to pay the non-Federal share of project costs) to ensure proper planning, management and completion of the project described in this application. 2. Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the State, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award; and will [[Page 30771]] establish a proper accounting system in accordance with generally accepted accounting standards or agency directives. 3. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 4. Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency. 5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. Secs. 4728-4763) relating to prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A of OPM's Standards for a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F). 6. Will comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. Secs. 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. Sec. 794), which prohibits discrimination on the basis of handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290dd-3 and 290ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VII of the Civil Rights Act of 1968 (42 U.S.C. Sec. 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and (j) the requirements of any other nondiscrimination statute(s) which may apply to the application. 7. Will comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. 8. Will comply with the provisions of the Hatch Act (5 U.S.C. Secs. 1501-5108 and 7324-7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. 9. Will comply, as applicable, with the provisions of the Davis- Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40 U.S.C. Sec. 276c and 18 U.S.C. Secs. 874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding labor standards for federally assisted construction subagreements. 10. Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more. 11. Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal actions to State (Clear Air) Implementation Plans under Section 176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Sec. 7401 et seq.); (g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended (P.L. 93-523); and (h) protection of endangered species under the Endangered Species Act of 1973, as amended (P.L. 93-205). 12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. Secs. 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. 13. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.). 14. Will comply with P.L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance. 15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the care, handling and treatment of warm blooded animals held for research, teaching, or other activities supported by this award of assistance. 16. Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead based paint in construction or rehabilitation of residence structures. 17. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act of 1984. 18. Will comply with all applicable requirements of all other Federal laws, executive orders, regulations and policies governing this program. ---------------------------------------------------------------------- Signature of authorized certifying official ---------------------------------------------------------------------- Title ---------------------------------------------------------------------- Applicant organization ---------------------------------------------------------------------- Date submitted Appendix C--U.S. Department of Health and Human Services, Certification Regarding Drug-Free Workplace Requirements, Grantees Other Than Individuals By signing and/or submitting this application or grant agreement, the grantee is providing the certification set out below. This certification is required by regulations implementing the Drug-Free Workplace Act of 1988, 45 CFR Part 76, Subpart F. The regulations, published in the May 25, 1990 Federal Register, require certification by grantees that they will maintain a drug-free workplace. The certification set out below is a material representation of fact upon which reliance will be placed when the Department of Health and Human Services (HHS) determines to award the grant. If it is later determined that the grantee knowingly rendered a false certification, or otherwise violates the requirements of the Drug-Free Workplace Act, HHS, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug-Free Workplace Act. False certification or violation of the certification shall be grounds for suspension of payments, suspension or termination of grants, or government wide suspension or debarment. Workplaces under grants, for grantees other than individuals, need not be identified on the certification. If known, they may be identified in the grant application. If the grantee does not identify the workplaces at the time of application, or upon award, if there is no application, the grantee must keep the identity of the workplace(s) on file in its office and make the information available for Federal inspection. Failure to identify all known workplaces constitutes a violation of the grantee's drug-free workplace requirements. Workplace identifications must include the actual address of buildings (or parts of buildings) or other sites where work under the grant takes place. Categorical descriptions may be used (e.g., all vehicles of a mass transit authority or State highway department while in operation, State employees in each local unemployment office, performers in concert halls or radio studios.) If the workplace identified to HHS changes during the performance of the grant, the grantee shall inform the agency of the change(s), if it previously identified the workplaces in question (see above). Definitions of terms in the Nonprocurement Suspension and Debarment common rule and Drug-Free Workplace common rule apply to this certification. Grantees' attention is called, in particular, to the following definitions from these rules: ``Controlled substance'' means a controlled substance in Schedules I through V of the [[Page 30772]] Controlled Substances Act (21 U.S.C. 812) and as further defined by regulation (21 1308.11 through 1308.15). ``Conviction'' means a finding of guilt (including a plea of nolo contendere) or imposition of sentence, or both, by any judicial body charged with the responsibility to determine violations of the Federal or State criminal drug statutes; ``Criminal drug statute'' means a Federal or non-Federal criminal statute involving the manufacture, distribution, dispensing, use, or possession of any controlled substance; ``Employee'' means the employee of a grantee directly engaged in the performance of work under a grant, including: (i) All ``direct charge'' employees; (ii) all ``indirect charge'' employees unless their impact or involvement is insignificant to the performance of the grant; and, (iii) temporary personnel and consultants who are directly engaged in the performance of work under the grant and who are on the grantee's payroll. This definition does not include workers not on the payroll of the grantee (e.g., volunteers, even if used to meet a matching requirement; consultants or independent contractors not on the grantee's payroll; or employees of subrecipients or subcontractors in covered workplaces). The grantee certifies that it will or will continue to provide a drug-free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing an ongoing drug-free awareness program to inform employees about: (1) The dangers of drug abuse in the workplace; (2) The grantee's policy of maintaining a drug-free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance programs; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee will: (1) Abide by the terms of the statement; and, (2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction; (e) Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to every grant officer or other designee on whose grant activity the convicted employee was working, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification number(s) of each affected grant; (f) Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted: (1) Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or, (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Making a good faith effort to continue to maintain a drug- free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). The grantee may insert in the space provided below the site(s) for the performance of work done in connection with the specific grant (use attachments, if needed); ---------------------------------------------------------------------- ---------------------------------------------------------------------- Place of Performance (Street address, City, County, State, ZIP Code) Check ______ if there are workplace on file that are not identified here. Sections 76.630 (c) and (d)(2) and 76.635 (a)(1) and (b) provide that a Federal agency may designate a central receipt point for STATE-WIDE AND STATE AGENCY-WIDE certifications, and for notification or criminal drug convictions. For the Department of Health and Human Services, the central receipt point is: Division of Grants Management and Oversight, Office of Management and Acquisition, Department of Health and Human Services, Room 517-D, 200 Independence Avenue, SW., Washington, DC 20201. Appendix D--Certification Regarding Debarment, Suspension, and Other Responsibility Matters--Primary Covered Transactions By signing and submitting this proposal, the applicant, defined as the primary participant in accordance with 45 CFR Part 76, certifies to the best of its knowledge and believe that it and its principals: (a) are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal Department or agency; (b) have not within a 3-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) are not presently indicted or otherwise criminally or civilly charged by a governmental entity (Federal, State of local) with commission of any of the offenses enumerated in paragraph (1) (b) of this certification; and (d) have not within a 3-year period preceding this application/ proposal had one or more public transactions (Federal, State, or local) terminated for cause or default. The inability of a person to provide the certification required above will not necessarily result in denial of participation in this covered transaction. If necessary, the prospective participant shall submit an explanation of why it cannot provide the certification. The certification or explanation will be considered in connection with the Department of Health and Human Services (HHS) determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such person from participation in this transaction. The prospective primary participant agrees that by submitting this proposal, it will include the clause entitled ``Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion--Lower Tier Covered Transaction.'' provided below without modification in all lower tier covered transactions and in all solicitations for lower tier covered transactions. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower Tier Covered Transactions (To be Supplied to Lower Tier Participants) By signing and submitting this lower tier proposal, the prospective lower tier participant, as defined in 45 CFR Part 76, certifies to best of its knowledge and belief that it and its principals: (a) are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal department or agency. (b) where the prospective lower tier participant is unable to certify to any of the above , such prospective participant shall attach an explanation to this proposal. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause entitled ``Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion--Lower Tier Covered Transactions'' without modification in all lower tier covered transactions and in all solicitations for lower tier covered transactions. Appendix E--Certification Regarding Lobbying--Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, to the best of his or here knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. [[Page 30773]] (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. State for Loan Guarantee and Loan Insurance The undersigned states, to the best of his or her knowledge and belief, that: If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL ``Disclosure Form to Report Lobbying,'' in accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. ---------------------------------------------------------------------- Signature ---------------------------------------------------------------------- Title ---------------------------------------------------------------------- Organization ---------------------------------------------------------------------- Date BILLING CODE 4184-01-P [[Page 30774]] [GRAPHIC] [TIFF OMITTED] TN17JN96.019 BILLING CODE 4184-01-C [[Page 30775]] Appendix F--Certification Regarding Environmental Tobacco Smoke Public Law 103-227, Part C--Environmental Tobacco Smoke, also known as the Pro-Children Act of 1994 (Act), requires that smoking not be permitted in any portion of any indoor facility owned or leased or contracted for by an entity and used routinely or regularly for the provision of health, day care, education, or library services to children under the age of 18, if the services are funded by Federal programs either directly or through State or local governments, by Federal grant, contract, loan, or loan guarantee. The law does not apply to children's services provided in private residences, facilities funded solely by Medicare or Medicaid funds, and portions of facilities used for inpatient drug or alcohol treatment. Failure to comply with the provisions of the law may result in the imposition of a civil monetary penalty of up to $1,000 per day and/or the imposition of an administrative compliance order on the responsible entity. By signing and submitting this application the applicant/grantee certifies that it will comply with the requirements of the Act. The applicant/grantee further agrees that it will require the language of this certification be included in any subawards which contain provisions for children's services and that all subgrantees shall certify accordingly. [FR Doc. 96-15156 Filed 6-14-96; 8:45 am] BILLING CODE 4184-01-P